Regulatory Officer at Scotia iTRADE

Join Scotia iTRADE as a Regulatory Officer in Toronto, focusing on daily account supervision and compliance assurance. This role is vital for maintaining trading integrity and risk management.

In the role of Regulatory Officer, you'll play a key part in overseeing daily account activities and ensuring compliance with both internal policies and external regulations. Responsibilities include analyzing trade reports and resolving compliance issues proactively. Your insights will contribute to enhancing the client's trading experience while mitigating risks associated with trading activities.

Key Responsibilities:

• Analyze trade reports for daily supervision

• Review and check trades for compliance accuracy

• Identify and address regulatory concerns proactively

• Document compliance tasks and follow-up actions

• Assist with Order Management as needed

Requirements:

• Profound understanding of trading and compliance regulations

• Experience in the investment and brokerage industry

• Familiarity with industry-standard PC applications

• Strong judgment and organizational skills required

• Relevant industry course completion preferred

Leverage your expertise in regulatory compliance to support the Scotia iTRADE team in Toronto.
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