Scotiabank

Compliance Officer, Employee Trading - GBM&T Compliance

Scotiabank$80K — $95K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Post-secondary education and/or professional designations
  • Canadian Securities Course certification
  • Minimum 3 years of experience in a major financial institution
  • In-depth knowledge of regulatory compliance requirements
  • Familiarity with industry practices in institutional compliance
  • Strong oral and written communication skills

Responsibilities

  • Support daily administration of the Employee Personal Trading compliance program
  • Onboard new employees into the trading compliance system
  • Monitor and review employee personal trading and private placements
  • Identify and highlight program effectiveness issues and training needs
  • Serve as primary contact for employee inquiries related to trading policies
  • Assist in preparing reports and statistics for management
  • Gather documents for internal audit or regulatory inquiries

Benefits

  • Collaborative environment with innovative team members
  • Comprehensive benefits package
  • Commitment to community involvement and corporate social responsibility
  • Recognition and rewards for high-performance
  • Opportunities for personal development and career advancement
Full Job Description
Requisition ID: 270764

The Compliance Officer contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada program. The Compliance Officer will work closely with the Director, Employee Trading Surveillance & Insider Regulatory Reporting, and others on the Employee Trading team, GBM&T Compliance Canada, and a diverse set of stakeholders to provide ongoing support for the Employee Personal Trading compliance program in Canada in line with Global Compliance's strategy and initiatives. In particular, the incumbent is responsible for the day-to-day administration of the Employee Personal Trading compliance program in Canada.

Is this role right for you? In this role, you will:

Support the day-to-day administration of the Employee Personal Trading compliance program in Canada, which includes the following:
  • Onboarding new employees.
  • Monitoring employee personal trading, reviewing and approving private placements, and addressing trade violations.
  • Highlighting issues that may impact the effectiveness of the program and training.
  • Acting as the point of contact for employees with questions related to the policies and programs the Employee Trading team oversees, and escalating questions as needed.
  • Assisting in the preparation of reports and statistics for business lines and management.
  • Assisting in gathering documents needed for responses to inquiries from internal audit or regulatory bodies as they relate to Employee Personal Trading functions.
  • Champion a high-performance environment and contribute to an inclusive work environment.
  • Other duties and projects as assigned. This includes acting as backup for another compliance officer when needed.


Do you have the skills that will enable you to succeed? We'd love to work with you if you have experience with:
  • This position requires
    • Post-secondary education and/or professional designations
    • Canadian Securities Course
    • Minimum of 3 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
    • Effective oral and written communication skills
  • The following courses are an asset:
  • Conduct and Practices Handbook
  • Derivatives Fundamentals Course
  • Trader 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.


What's in it for you?
  • The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
  • A competitive compensation and comprehensive benefits plan.
  • An organization committed to making a difference in our communities - for you and our customers.
  • You can expect to be recognized and rewarded for high-performance; you will be supported by leadership through meaningful development conversations that enable faster advancement and internal training to support your growth and development.


Location(s): Canada : Ontario : Toronto

About Scotiabank

Scotiabankers are committed to helping individuals, companies, and communities to thrive in a changing world. From personal and business banking, brokerage, and insurance, to private wealth, and the most sophisticated commercial, corporate and institutional services, they serve the diverse needs of some 21 million customers in more than 55 countries. Founded in 1832 in Halifax, Nova Scotia, their growth has always been fuelled by the success of their customers and their longevity secured by an unshakable commitment to carefully and expertly managing risk and capital. That focus on doing what's right for customers—short- andlong-term—has made us a global financial services leader. Headquartered in Canada, they are over 86, 000 Scotiabankers strong. Each of us are committed to being the best at understanding their customers' needs and all of us working together to deliver practical advice and relevant solutions that help their customers become financially better off.

Scotiabank Careers

Join Scotiabank, a premier financial institution, and become part of a diverse and inclusive team that’s leading the way in global banking. At Scotiabank, we offer more than just job opportunities; we provide a platform for professional growth and innovation in the financial services industry.

Work You’ll Do

At Scotiabank, we’re not just filling positions; we’re cultivating leaders. Dive into a workplace where diversity training and leadership development shape the path to your future. Our commitment to professional growth is evident in our robust training programs and continuous learning opportunities that foster innovation and strategic thinking.

Explore a World of Opportunities

Whether you’re looking for a full-time position, an internship, or a leadership role, Scotiabank has a spectrum of opportunities to fit your career ambitions. Our team is composed of individuals who bring a wealth of skills and perspectives to our company, driving us forward with their creativity and strategic insights.

Innovative Work Environment

Scotiabank’s culture is one of collaboration and respect, where each team member’s contribution is valued. Engage in meaningful work that challenges you to leverage your skills and push the boundaries of what’s possible in the banking sector. Our innovative projects not only support the growth of the company but also ensure our position as a leader in the industry.

Benefits and Growth

Choosing a career at Scotiabank means opting for a life of growth and opportunity. Our employees enjoy competitive benefits, including comprehensive health coverage, retirement plans, and flexible working conditions, all designed to support your career and personal life. We believe in nurturing our team’s potential by providing them with the tools they need to succeed both professionally and personally.

Join Our Team

Ready to take the next step in your career? Explore the job opportunities at Scotiabank by searching our open positions that match your skills and interests. We are continuously hiring and looking for passionate, curious, and solution-driven team players.

Networking and Professional Development

Stay connected and advance your career through Scotiabank’s extensive networking opportunities. Participate in events that connect you with other professionals and leaders within the industry. Our career resources will help you prepare your resume, ace your interviews, and land the job that best suits your career goals.

Stay Ahead

Keep up to date with the latest in career tips, industry insights, and company news—all from the people who work here at Scotiabank. Personalize your experience by subscribing to job alert emails tailored to your preferences and be the first to know about new openings and exciting developments. Join Scotiabank and be part of a team that values integrity, respect, and accountability. Discover how your career can flourish in an environment committed to your professional development and personal growth.
Learn more about Scotiabank
Size
90,619 employees
Market Cap
$57.5 billion
Industry
5 Year Trend
+7%
NASDAQ

Similar Jobs

More Jobs at Scotiabank

More Finance & Insurance Jobs

Find similar Compliance Officer, Employee Trading - GBM&T Compliance jobs: