Job Description

Requisition ID: 174555

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose of Job:
Contributes to the overall success of the Global Banking & Markets and Treasury (\xe2\x80\x9cGBM&T\xe2\x80\x9d) Compliance Canada program. The Senior Compliance Officer will work closely with the Senior Manager, Employee Trading and others on the Employee Trading team , GBM&T Compliance Canada and a diverse set of stakeholders to provide ongoing support of the Employee Personal Trading compliance program in Canada in line with Global Compliance\xe2\x80\x99s strategy and initiatives.
Job Responsibilities:
Support the administration of the Employee Personal Trading compliance program in Canada, which includes the following:

• Working in conjunction with management and business line employees, determine which departments or employees have access to confidential information and should be included in a personal trading program that includes trade pre-clearance and monitoring.
• Monitoring employee personal trading.
• Preparing reports and statistics for business lines and management.
• Reviewing and recommending approval of employee private placements, outside business activities and outside directorships to management, as appropriate.
• Acting as a point of contact for day-to-day questions related to the policies and programs the Employee Trading team oversees and escalating questions as needed.
• Assisting with the development and delivery of internal policies and procedures to enhance the effectiveness of program delivery and reflect changes in regulatory requirements. This may include assisting with the development and delivery of employee training.
• Preparing and submitting insider trade reports for reporting insiders of the Bank on the System for Electronic Disclosure.
• Assisting management in preparing response to inquiries from internal audit or regulatory bodies as they relate to the Employee Personal Trading program in Canada.
• Other duties and projects as assigned. This includes acting as back up for another senior compliance officer when needed.

Job Requirements:

• 
  Post-Secondary education and/or professional designations
• Canadian Securities Course
• Minimum of 5 years of related experience at a major financial institution
• In-depth knowledge of regulatory and compliance requirements
• Knowledge of industry practices regarding institutional compliance matters
• Strong interpersonal and communication skills, both written and oral
• Experience working in a task and results oriented team environment.
• Must be results oriented with strong organizational and time management skills.
• Must have well-developed analytical and critical thinking skills.

The following courses are an asset:

• Conducts and Practices Handbook
• Derivatives Fundamental Course
• Trader\xe2\x80\x99s Training Course

The following computer skills are an asset

• Bloomberg
• Microsoft applications (including Word, Excel and Power Point)
• Familiarity with the internet and related applications as tools for conducting compliance related research

An understanding of the Scotiabank organizational structure, risk management structure, operational procedures and the business activities, products and services offered by the business units would be an asset. An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules is an asset as is an understanding of Canadian securities and banking legislation.
Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.