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Title:  Compliance Officer, Employee Trading - GBM&T Compliance

 

 

 

Requisition ID: 249364

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 Global Banking & Markets and Treasury (“GBM&T”) Compliance Canada program. The Compliance Officer will work closely with the Senior Manager, Employee Trading, and others on the Employee Trading team, GBM&T Compliance Canada, and a diverse set of stakeholders to provide ongoing support for the Employee Personal Trading compliance program in Canada in line with Global Compliance’s strategy and initiatives. In particular, the incumbent is responsible for the day-to-day administration of the Employee Personal Trading compliance program in Canada.

 

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

 

Support the day-to-day administration of the Employee Personal Trading compliance program in Canada, which includes the following:

  • Onboarding new employees.
  • Monitoring employee personal trading, reviewing and approving private placements, and addressing trade violations.
  • Highlighting issues that may impact the effectiveness of the program and training.
  • Acting as the point of contact for employees with questions related to the policies and programs the Employee Trading team oversees, and escalating questions as needed.
  • Assisting in the preparation of reports and statistics for business lines and management.
  • Assisting in gathering documents needed for responses to inquiries from internal audit or regulatory bodies as they relate to Employee Personal Trading functions.
  • Other duties and projects as assigned. This includes acting as backup for another compliance officer when needed.

 

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

 

  • This position requires
    • Post-secondary education and/or professional designations
    • Canadian Securities Course
    • Minimum of 3 years of related experience at a major financial institution
    • In-depth knowledge of regulatory and compliance requirements
    • Knowledge of industry practices regarding institutional compliance matters
    • Effective oral and written communication skills
  • The following courses are an asset:
    • Conduct and Practices Handbook
    • Derivatives Fundamentals Course
    • Trader Training Course
  • The following computer skills are an asset
    • Bloomberg
    • Microsoft applications (including Word, Excel and Power Point)
    • Familiarity with the internet and related applications as tools for conducting compliance related research
  • An understanding of the Scotiabank organizational structure, risk management structure, operational procedures, and the business activities, products, and services offered by the business units would be an asset.
  • An understanding of the Canadian Investment Regulatory Organization (CIRO, previously IIROC) rules and FINRA rules is an asset, as is an understanding of Canadian securities and banking legislation.

 

What's in it for you?

 

  • Champion a high-performance environment and contribute to an inclusive work environment.
  • The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
  • A competitive compensation and comprehensive benefits plan.
  • An organization committed to making a difference in our communities - for you and our customers.
  • You can expect to be recognized and rewarded for high-performance; you will be supported by leadership through meaningful development conversations that enable faster advancement and internal training to support your growth and development.

 

*We are currently hiring for two positions in this role*

 

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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