Senior Officer in Trade Surveillance Compliance

Become a key player at Scotiabank as a Senior Compliance Officer focused on trade surveillance within the Global Banking and Markets division. Elevate compliance efforts through market insights and vigilant monitoring.

In the pivotal role of Senior Compliance Officer, you will oversee capital markets trading compliance ensuring regulatory mandates are met within Scotiabank's operations. The role will engage you in alert reviews, client relationship management, and compliance procedure enhancements. Your influential work will involve direct support for team initiatives and compliance training.

Key Responsibilities:

• Champion customer-focused compliance initiatives

• Review alerts generated by surveillance systems for accuracy

• Develop reports on trade activities and compliance issues

• Assist with regulatory inquiries or internal investigations

• Enhance policy frameworks and compliance procedures

Requirements:

• Minimum 5 to 7 years in compliance at a financial institution

• Thorough understanding of securities regulations

• Advanced skills in Excel and coding tools

• Excellent oral and written communication abilities

• Relevant post-secondary education or designations

Utilize your compliance and trade surveillance skills to enhance Scotiabank's operational integrity.
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