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Compliance Officer, Trade Surveillance (OTC)
Location:
Toronto
Description:
Requisition ID: 188102 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall success of the Global Compliance Trade Surveillance Department (“GCTS”) 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. The Compliance Officer (“CO”) is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with global and local regulatory requirements as well as internal policies and procedures. Accountabilities Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. Conducts post-trade market related surveillance to adjudicate alerts within the sector(s) the CO is responsible for supporting and reviews securities trade transactions and identify any suspicious or high-risk activities. Alerts are generated by various surveillance systems and manual processes within the GBM&T Framework Supports the effective and efficient operation of GCTS responsibilities and provides back-up support within the team and on other projects as assigned. Assists in responding to regulatory requests for information and internal audit inquiries, responsibilities may include, but are not limited to, gathering documents and/or data extracts. Assist in the development and enhancement of procedures and processes of the surveillance program. Understands 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 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. Visit ListedBuy for more information.
Company:
Scotiabank
Posted:
November 10 2023 on ListedBuy
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More About this Listing: Compliance Officer, Trade Surveillance (OTC)
Compliance Officer, Trade Surveillance (OTC) is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Compliance Officer, Trade Surveillance (OTC) by searching Oodle for Executive Compliance Officer Jobs.
Compliance Officer, Trade Surveillance (OTC) is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Compliance Officer, Trade Surveillance (OTC) by searching Oodle for Executive Compliance Officer Jobs.