Compliance Officer, Employee Trading - GBM&T Compliance

Scotiabank • Toronto, ON

1d • Onsite

About The Position

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 Director, Employee Trading Surveillance & Insider Regulatory Reporting, 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.

Requirements

• 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

Nice To Haves

• Conduct and Practices Handbook
• Derivatives Fundamentals Course
• Trader Training Course
• 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
• An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules
• An understanding of Canadian securities and banking legislation

Responsibilities

• Support the day-to-day administration of the Employee Personal Trading compliance program in Canada, which includes 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.
• Champion a high-performance environment and contribute to an inclusive work environment.
• Other duties and projects as assigned. This includes acting as backup for another compliance officer when needed.

Benefits

• A competitive compensation and comprehensive benefits plan.
• The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree