Title:  Compliance Officer, Retail Surveillance Canadian Wealth Distribution Compliance - (8-Month Contract)

Requisition ID: 242665

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

The Compliance Officer contributes to the overall success of the Canada Wealth Distribution Compliance Team in Canada, ensuring specific individual goals, plans, and initiatives are executed/delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures.

Is this role right for you? In this role, you will:

• Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements, including CIRO Rule 3900 and internal policies and procedures, to detect violations and potential violations.
• Conduct effective follow-up on issues and potential violations identified in a timely and efficient manner.
• Execute the risk-based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure and ensure that reviews conducted are high quality and appropriate.
• Assist in identifying gaps in the existing compliance program and review and investigate compliance issues as they arise and escalate findings.
• Participate in special projects requiring specialist compliance input and expertise, such as Branch Review Program updates and Compliance Manual reviews/updates.
• Partner with other Global Compliance groups to ensure consistent and effective execution of the monitoring program across business units.
• Maintain a high level of awareness of compliance-related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Actively pursue effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions, and conduct risk.
• Champion a high-performance environment and contribute to an inclusive work environment.

Do you have the skills that will enable you to succeed? We’d love to work with you if you have experience with:

• College Diploma or University Degree (preferred) and/or 3 years of relevant experience in the financial industry (preferably with a CIRO member firm).
• Relevant industry accreditations/courses such as CSI Industry courses or equivalents are an asset, e.g., Canadian Securities Course; Conduct and Practices Handbook; or Investment Dealer’s Supervisor Course.
• Good understanding of the general characteristics, attributes, and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as suitability and legitimacy of investment activities.
• Ability to communicate effectively verbally and in writing.
• Strong analytical skills and a keen eye for detail.
• Well-developed interpersonal skills to provide a high level of service and maintain working relationships with assigned client groups and team members.
• Self-motivated, confident, and capable of working both independently and in a team environment.
• Results-oriented and a high achiever.
• Reliable, consistent, disciplined, and possessing a high level of integrity.
• Tactful, diplomatic, and politely persistent.

What's in it for you?

• In-depth training to prepare you for the role, as well as ongoing coaching and feedback to help you succeed!
• You'll be part of a diverse, collaborative, innovative, and high-performing team.
• We offer a competitive rewards package:
• Performance bonus, Employee Share Ownership Program, and Pension Plan Matching.
• Health benefits from day one!
• You will relish work-life balance, team events, and opportunities to participate in the community.
• Your career matters! You will have access to career development and progression opportunities.

Location(s):  Canada : Ontario : Ottawa 

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.  

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.