Trade Surveillance Senior Compliance Expert

Advance your career with Scotiabank in Toronto, Ontario, as a Senior Compliance Officer specializing in Trade Surveillance. Oversee capital markets trading compliance and regulatory adherence within the GBM&T division.

As a Senior Compliance Officer, you will carry out critical Tier 2 compliance efforts while managing trade surveillance activities.

Your role includes comprehensive reviews of trading alerts, collaboration with senior managers, and employee training. Conduct analyses for marketplace inquiries, while supporting the development of compliance processes and policies.

Key Responsibilities:

• Manage reviews of OTC trading alerts and surveillance

• Create compliance reports for specific business lines

• Conduct periodic and ad hoc compliance training sessions

• Support investigations into regulatory matters

• Assist in drafting and improving surveillance procedures

Requirements:

• 5-7 years of relevant experience in finance

• Strong knowledge of capital markets and trading compliance

• Completion of Canadian Securities and related courses

• Proficient in Excel macros and coding skills

• Effective communication, teamwork, and independence

Apply your extensive knowledge of compliance and trading at Scotiabank, enhancing their operations and culture.
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