Employee Trading Compliance Professional

Become a pivotal part of Scotiabank’s compliance team as a Compliance Officer in Toronto, Ontario, specializing in Employee Trading. Play a key role in ensuring regulatory adherence and program success.

This Compliance Officer role focuses on the day-to-day operations of the Employee Personal Trading compliance program. You will collaborate with various stakeholders, including regulatory bodies, to support compliance initiatives and manage employee inquiries effectively. Your expertise will reinforce the governance of trading activities across the organization.

Key Responsibilities:

• Assist with onboarding new team members to compliance

• Monitor and report on employee personal trading activities

• Address and manage trade policy violations

• Prepare and present compliance-related reports

• Facilitate responses to audits and regulatory inquiries

Requirements:

• Post-secondary education and Canadian Securities Course

• At least 3 years of relevant experience

• In-depth knowledge of compliance requirements

• Excellent communication abilities

• Familiarity with industry regulations and compliance practices

Support compliance, trading, and regulatory excellence with Scotiabank’s innovative team.
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