Scotiabank

Compliance Officer, Global Information Barriers Surveillance, Global Control Room - GBM&T Canada

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

Qualifications

  • Post-secondary education and/or professional designations.
  • Minimum 2 years of relevant experience in compliance or institutional business settings.
  • Knowledge of industry practices regarding institutional compliance matters.
  • Experience in institutional, corporate banking, treasury, capital markets, or regulatory roles.
  • Self-motivated with the ability to work independently and collaboratively.
  • Excellent oral and written communication and interpersonal skills.
  • Highly organized, capable of managing multiple complex projects.
  • Ability to exercise sound judgment in risk identification.

Responsibilities

  • Support the Global Control Room Information Barriers Surveillance program across various trading activities.
  • Identify key risk indicators, assess control adequacy, and address non-compliance issues.
  • Recommend enhancements to the Surveillance program and undertake assigned projects.
  • Leverage technology to improve Surveillance processes and engage with internal development teams.
  • Assist with inquiries from regulatory bodies related to Surveillance activities.
  • Collaborate with cross-functional teams to ensure timely project delivery.
  • Guide end-user testing, data validation, and the implementation of new technologies.

Benefits

  • Champion a high-performance culture and contribute to inclusivity.
  • Opportunity to work in a forward-thinking and collaborative organization.
  • Competitive compensation and comprehensive benefits plan.
  • Opportunity to impact community positively.
  • Recognition and support for high performance and personal development.
Full Job Description
Requisition ID: 269231

The Compliance Officer contributes to the overall success of the Global Control Room Information Barriers Surveillance Program by managing the Surveillance process to safeguard sensitive, confidential, and material non-public information, ensuring all activities are conducted in compliance with governing regulations, internal policies, and procedures.

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

  • Support the Global Control Room Information Barriers Surveillance program for GBM&T in relation to reviews and escalations against the Watch Lists and the Restricted Lists for Inventory Trading, Employee Trading, Lookback Reviews, and E-Communication Surveillance.
  • Identify the key risk indicators and assess and test the adequacy of controls, identify non-compliance issues, and implement appropriate corrective action or process improvement.
  • Recommend, where applicable, enhancements to the Surveillance program, along with developing new areas of review and completing other duties and projects as assigned.
  • Identify opportunities to use technology to enhance program delivery for the Surveillance processes, including liaising with internal development teams and assisting with process automation for conducting the Surveillance program.
  • Assist with other duties and projects in the Global Control Room, including acting as back-up for the Team when required.
  • Assist in the preparation of responses to inquiries from regulatory bodies as they relate to the Surveillance function.
  • Collaborate with managers, business analysts, and developers both internally and externally to drive the delivery of projects on time and within budget.
  • Contribute to the delivery and successful implementation of new technology by facilitating and performing end-user testing, data validation and normalization, end-user procedures, aids and training materials, and consideration of all key aspects of the project.
  • Provide ongoing updates and support to the members of the Surveillance team throughout the various stages of product testing and implementation.
  • Champion a customer-focused culture to deepen client relationships by leveraging broader Bank relationships, systems, and knowledge.
  • Understand the Bank's risk appetite and risk culture in relation to day-to-day activities and decisions.
  • Actively pursue effective and efficient operations in accordance with Scotiabank's Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions, and conduct risk.


Do you have the skills that will enable you to succeed? We'd love to work with you if you have experience with:

  • Post-Secondary education and/or professional designations.
  • A minimum of 2 years of relevant experience in an institutional business or compliance setting in a large financial institution, established securities dealer or regulatory agency.
  • Knowledge of industry practices regarding institutional compliance matters.
  • Institutional, corporate banking, treasury, capital markets, compliance, regulatory or audit experience.
  • Self-motivated; ability to work both independently and collaboratively with multi-functional teams.
  • Excellent communication (oral and written) and interpersonal skills required.
  • Highly organized and capable of dealing with multiple, complex projects simultaneously.
  • Ability to deliver results in a fast-paced, challenging, and dynamic business environment.
  • Sound judgment in identifying risks to proactively escalate with relevant senior management.


What's in it for you?

  • Champion a high-performance environment and contribute to an inclusive work environment.
  • 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

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