Compliance Officer, Retail Surveillance - Wealth Distribution Compliance

Requisition ID : 206219

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives.

Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities

Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rule 3900 and internal policies and procedures to detect violations and potential violations.

Conduct effective follow-up on issues and potential violations identified in a timely and efficient manner.

Execute the risk based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure and ensure that reviews are conducted are high quality and appropriate.

Assist in identifying gaps in the existing compliance program and review and investigate compliance issues as they arise and escalate findings.

Participates in special projects requiring specialist compliance input and expertise, such as Branch Review Program updates and Compliance Manual reviews / updates.

Partner with other Global Compliance groups to ensure consistent and effective execution of the monitoring program across business units.

Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.

Understand how the Bank’s risk appetite and risk culture should be considered in the execution of day-to-day trade reviews.

Participate in a high-performance environment by fostering an inclusive work environment and team culture.

Education / Experience

College Diploma or University Degree (preferable) and / or 2 years relevant experience in the financial industry (preferably with an CIRO member firm)

Relevant Industry accreditations / courses such as CSI Industry courses or equivalents an asset. Ie. Canadian Securities Course;

Conduct and Practices Handbook Course and Derivatives Fundamental Options Licensing Course.

Good understanding of the general characteristics, attributes and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as suitability and legitimacy of investment activities.

Able to communicate effectively verbally and in writing

Strong analytical skills and a keen eye for detail.

Well-developed inter-personal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members.

Self-motivated, confident and capable of working both independently and in a team environment.

Results oriented and high achiever.

Reliable, consistent, disciplined and high level of integrity.

Tactful, diplomatic and politely persistent

Location(s) : Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas. Guided by our purpose : "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

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.