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Title:  Channel Management & Support Manager

 

 

 

Requisition ID: 121629

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

 

Associate, Trade Floor Supervision, Operations Risk Oversight 

 

Why work for Scotiabank?


Scotiabank is among the largest banks in the world and the most international bank in Canada. We are powered by our 97,000 high-performing teammates who make a real difference across the globe as a leading provider of advice, products, digital experiences, and financial services. Together with our Digital Factories around the world, we are dedicated to helping our 25 million customers become better-off.

 

This is a place where you’ll get to learn and develop your skills, while being recognized for your hard work. At Scotiabank, we’re passionate about bringing our whole selves to work, allowing us to create inclusive work environments for everyone to enjoy. Say hello to a career at Scotiabank!


Global Banking and Markets

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals.  We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.


Position:  

Trade Floor Supervision is mandated to reduce the regulatory, reputational and operational risks associated to the sales and trading function on a global basis. This is accomplished by monitoring daily, weekly and monthly trading of equity, fixed income and derivative products on behalf of the desk heads and following up directly with traders and sales personnel. TFS acts as liaison between desk heads and compliance and provides support for the compliance functions locally.   The Associate, TFS will monitor communications globally to ensure compliance against governing regulations, internal policies and procedures. 


 

Accountabilities

 

 

  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  • The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated by GBM and Group Treasury staff.  
  • The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication whether written (electronic) or oral (tapped lines).  
  • This position works closely with the Director of Trade Floor Supervision - Communications and may also need to interact from time to time with the senior management of Group Treasury and GBM globally.  
  • The incumbent must be able to manage a review of a large number of communications against a significant number of policies that affect the businesses globally, as well as verify details of

communications (i.e. has understanding of the content) and determine accuracy (investigate using public sources).

  • Must be able to use judgment in managing highly sensitive information and/or situations.  
  • Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies.
  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct. 
  • Champions a high performance environment and contributes to an inclusive work environment


 

Requirements

 

  • Thorough analytical skills required to work with the various programs and information to ensure completeness of a communication.
  • Working knowledge of Securities law, regulations and trading rules 
  • Ability to conduct detailed investigations and write concise reports in a timely manner.
  • Completion of the CSC, CPH, TTC, PDO preferred 
  • Must be able to obtain US licensing with FINRA (Series 7, 63, 24)
  • Helpful to have proficiencies in English, French and Spanish.
  • University degree in Business, Economics or related

 

Working Conditions

  • Ability to work in a busy environment that has little separation for space and can be loud at      times.
  • Ability to work under pressure when dealing with time sensitive requests.
  • On call nature of position often involves overtime and work on weekends
  • Flexibility to work from home when the need arises

 

 

 

Location(s):  Canada : Ontario : Toronto 

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.


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