Senior Compliance Officer

Position: Senior Compliance Officer at Scotiabank
Elevate your career with Scotiabank as a Senior Compliance Officer specializing in Trade Surveillance within the Global Banking and Markets division in Toronto, Ontario. Drive compliance activities, ensure regulatory adherence, and monitor trading operations effectively.

As a Senior Compliance Officer, you'll engage in Tier 2 compliance functions crucial for the GBM&T team. Your responsibilities include conducting thorough reviews of surveillance alerts, generating detailed reporting, and acting as a subject matter expert. Collaborate with compliance officers and senior managers, while contributing to effective training and surveillance policy enhancements.

Key Responsibilities:

• Conduct compliance reviews on OTC product trading alerts

• Generate trade surveillance activity reports for GBM&T

• Support compliance training for team and external stakeholders

• Perform analyses for regulatory inquiries and investigations

• Collaborate in improving compliance procedures and processes

Requirements:

• 5-7 years of experience in a financial institution

• Advanced understanding of trading strategies and instruments

• Knowledge of regulatory compliance requirements

• Canadian Securities Course and other certifications

• Proficiency in advanced Excel and coding tools

Leverage your expertise in compliance and trading at Scotiabank in Toronto.
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