Senior Manager, Advisory - Global Capital Markets Compliance (227583)
Senior Manager, Advisory - Global Capital Markets Compliance (227583)
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Job Description
Requisition ID: 227583
Join a purpose driven winning team committed to results in an inclusive and high-performing culture.
Purpose
Is a member of a world class Advisory team for GBM Canada focused on the Global Capital Markets trading businesses and their related front middle and back office support and operational teams. Ensures business strategies plans and initiatives are executed / delivered in compliance with governing regulations internal policies and procedures.
Accountabilities
- Participates as part of a world class Advisory team and program that delivers consistently efficient and effective compliance support to Global Capital Markets.
- Supports the Director Advisory - GCM and provides ongoing counsel and advice in all Canadian trading related compliance matters for Global Capital Markets.
- Ensures that the policies and advisory procedures for Global Capital Markets reflect at a minimum all Canadian legislative and regulatory requirements.
- Develops and delivers annual periodic and ad hoc compliance and related risk management training education and awareness initiatives to the appropriate internal stakeholders and business divisions.
- Understand how the Banks risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Assist and provide guidance when responding to regulatory and internal audit inquiries which includes gathering documents and/or data extracts.
- Assists on specific projects (e.g. special investigations regulatory initiatives etc.).
- Assist in conducting effectiveness testing of supervision related processes and controls.
- Assist with writing of policy guidance memos training presentations and the socialization of these documents
- Ensures that the policies and advisory procedures for Global Capital Markets reflect at a minimum all Canadian legislative and regulatory requirements.
- Assist other team members provide back-up support and guidance within the team and other projects as assigned.
- Contribute to Compliance presentations at governance forums (Regulatory development remediation matters key risk indicators etc.).
- 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.
- Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships systems and knowledge.
Education / Experience
- Post-Secondary education and/or professional designations.
- A minimum of 3-5 years of relevant experience in a large financial institution or established securities or other financial services activity regulatory agency.
- An excellent understanding of MX and IIROC trading rules and related National Instruments.
- Advanced understanding of institutional equity fixed income and/or derivatives trading (listed derivatives) including hedging and other sophisticated trading strategies.
- General understanding of Canadian regulatory and industry trends related the skills to translate requirements into efficient and effective policies procedures controls systems and training
- An enquiring mind excellent judgment strategic thinking skills and attention to detail.
- Fluent oral and written communication skills.
- Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
- Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
- Able to work independently and with other staff across functional lines within the Bank.
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.
Required Experience:
Exec
Employment Type
Advisor
