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Purpose of Job The incumbent is responsible for the day to day administration of the employee personal trading compliance program. Major Accountabilities
The incumbent is responsible for the day to day administration of the employee personal trading program which includes on-boarding new employees, monitoring employee personal trading, addressing trade violations, assisting in preparation of reports and statistics for business lines and management, highlighting issues that may impact the effectiveness of the program and training.
The incumbent is the first point of contact for employees with questions related to employee trading but will escalate questions that fall outside of standard policies and procedures.
The incumbent is responsible for assisting in gathering documents needed for responses to inquiries from internal audit or regulatory bodies as they relate to Control Room functions.
Other duties and projects as assigned. This includes acting as back up for another compliance officer when needed.
Education/Work Experience/Designations 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:
Conducts and Practices Handbook
Derivatives Fundamental Course
Trader's Training Course
The following computer skills are an asset
Microsoft applications (including Word, Access, 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 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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