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Contributes to the overall success of the Operational Risk Oversight (ORO) in London ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.
Responsible for providing delegated 1st line of defence support and guidance to business line management for managing operational risk, work with a team that helps ensure an effective system of in internal controls exists in GBM.
To partner with the GBM business lines in Europe to enhance risk governance & controls as well as first line supervision and oversight of processes, to foster open communication and partnership with businesses to align our activities with business priorities
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursues effective and efficient operations of the team process, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook.
Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vision/values/business strategy and managing succession and development planning for the team.
Provide first line supervision support for the GBM business lines operating in Europe.
Primary responsible for the monitoring of communications in London based on regulatory requirements and the policies and guidelines, this includes both electronic and voice communications.
Managing and completing thorough reviews of London communications against policies and regulations that affect the GBM businesses.
Using a high degree of understanding of the capital markets to detect, investigate and escalate potential policy violations and human resources issues to the UK Director, ORO, to the relevant Business Line Head and to Trade Floor Supervision (TFS), Toronto.
Keep detailed lists and records to demonstrate compliance with the various policies and regulations.
Use good judgement in managing highly sensitive information and/or situations.
Verify details of communications (i.e. understanding of the content) and determine accuracy (investigate using public sources).
Compile reporting on outcomes and provide statistical details and trending.
Conduct investigations as requested on specific communications if directed by the Director or senior management
Coordinate with HR and Compliance to keep the database of persons supervised up to date.
Ensure that surveillance standards and electronic methods used to extract data are consistent with procedures and policies employed by TFS staff located in Toronto. Such standards include the use of a common lexicon, technology and processes.
Be actively involved in enhancing surveillance procedures and processes, including technology selection and process design.
Provide Support in the enablement and management of Trading Venues and electronic platforms utilised by GBM Europe business lines. Manage on-boarding, documentation, access management on behalf of the business lines ensuring business usage in a controlled manner and in adherence with regulatory requirements, specifically MiFID II. Ensure alignment to Broker on-boarding and Third Party Risk Management.
As required complete first line supervision of key controls, including BNS participation in Gold and Silver auction process.
Participation in Regulatory initiatives as required.
University Degree or solid experience in banking environment;
Language skills in addition to English, French & Spanish are desirable
Good knowledge of applicable banking regulation
Understanding of a Markets environment, demands of stakeholders in this environment and related products, securities and derivatives.
Ability to conduct detailed investigations and write concise reports in a timely manner.