Senior Compliance Officer Trade Surveillance

Drive compliance excellence at Scotiabank as a Senior Compliance Officer specializing in trade surveillance within the Global Banking and Markets division. Ensure regulatory adherence and foster client relationships through strategic oversight.

As part of the Global Banking and Markets & Treasury team at Scotiabank, the Senior Compliance Officer's role involves conducting capital markets trading surveillance. This role demands a high level of expertise in compliance, market regulations, and trading strategies. Your responsibilities will include reviewing trade alerts, supporting compliance operations, and enhancing existing policies and processes.

Key Responsibilities:

• Conduct reviews of automated and manual trade alerts

• Generate trade surveillance reports for designated business lines

• Provide training and support compliance team members

• Conduct research for regulatory inquiries and investigations

• Identify gaps in trade surveillance processes

Requirements:

• 5 to 7 years of compliance experience in financial services

• In-depth knowledge of regulatory frameworks and trading strategies

• Proficiency in advanced Excel and coding

• Strong communication skills with diverse stakeholders

• Post-secondary education or professional designations

Leverage your expertise in compliance and trade surveillance to ensure operational risk management at Scotiabank.
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