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Compliance Officer, Trade Surveillance (Listed Products) - Contract
Location:
Toronto
Description:
Requisition ID: 189302 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Contributes to the overall performance of the Global Compliance Trade Surveillance Department (GCTS) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada. Activities are focused on specific individual goals, plans, initiatives to be executed in accordance with the team’s business strategies and objectives. Ensures all activities 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 global and local regulatory requirements as well as internal policies and procedures. Accountabilities • Conduct near real-time and post-trade market related surveillance to adjudicate alerts generated for equities and listed derivatives products by various surveillance systems. Identify and investigate any potential exchange / marketplace and regulatory rule violations by clients and/or traders. • Assist in responding to regulatory and internal audit inquiries, which includes, but may not be limited to 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. • Enthusiastically supports the effective and efficient operations of his/her respective GCTS responsibilities and team. Actively supports day-to-day business controls designed to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct. Visit ListedBuy for more information.
Company:
Scotiabank
Posted:
December 1 2023 on ListedBuy
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More About this Listing: Compliance Officer, Trade Surveillance (Listed Products) - Contract
Compliance Officer, Trade Surveillance (Listed Products) - Contract is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Compliance Officer, Trade Surveillance (Listed Products) - Contract by searching Oodle for Executive Compliance Officer Jobs.
Compliance Officer, Trade Surveillance (Listed Products) - Contract is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Compliance Officer, Trade Surveillance (Listed Products) - Contract by searching Oodle for Executive Compliance Officer Jobs.