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Purpose Contributes to the overall success of the Trade Surveillance Department within Global Banking and Markets & Treasury ("GBM&T") Compliance in Canada 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. The Compliance Officer ("CO") is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with regulatory requirements (in particular those established by securities regulations and Self-Regulatory Organizations as well as internal policies and procedures.
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Conduct near real-time and post-trade market related surveillance to address alerts (analyze and address alerts using the SMARTS and other surveillance applications); identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders.
Perform ongoing audit trail reviews
Assist in responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts
Assist in conducting effectiveness testing of supervision related processes and controls
Assist in the development and enhancement of procedures and processes of the surveillance program
Assist other team members and provide back-up support within the team and other projects as assigned
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 his/her respective areas, 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 and the Guidelines for Business Conduct.
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 vison/values/business strategy and managing succession and development planning for the team.
Education / Experience
Sound understanding of retail and institutional equity, fixed income and/or derivatives trading (options and futures at least), including knowledge of hedging and other trading strategies
Post-Secondary education and/or professional designations
Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course
Minimum of 5 years of related experience at a financial institution and/or regulated securities dealer
Able to work independently and with other staff across functional lines within the Bank
In-depth knowledge of regulatory and compliance requirements
Identify external market activity, news and additional factors that may influence trading activities
An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and UMIR, as well as a general understanding of Canadian provincial securities legislation
Excellent oral and written communication skills
Location(s): Canada : Ontario : Toronto As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. Our employees are committed to a superior customer experience and use the Bank's six guiding sales practice principles to ensure they act with honesty and integrity.
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. If you require technical assistance, please click here . 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.
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