Daily Account Supervision Officer, Scotia iTRADE - Toronto, ON

Requisition ID: 227772

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

In the Daily Account Regulatory Officer role you will contribute to the overall success of the Scotia iTrade daily account supervision team in Canada ensuringall activities are conducted in compliance with governing regulations internal policies and procedures.

Is this role right for you In this role you will:

• Conduct daily account supervision via the analysis ofvarious trade reports

• Reviewtrades completed by Scotia iTrade staffensuring all trades have been appropriately authorized entered and executed
• Identify potential and actual compliance issues and concerns (i.e. AML Sanctions UMIR violations ramping credit risk and vulnerable clients)
• Conductfollow-up inquiries and reviewsensuring appropriate corrective actions are implemented in a timely manner
• Identify trading concerns and issues from a regulatory perspective --such as market manipulation restricted buys restricted accounts insider trading
• Identify high risk accountsnotifying management and other departments as required
• Conductmonthly reviews of client statements
• Performcompliance and regulatory tasks such as investigating inquiries arising from the review of monthly account statements and/orqueries from compliance and other departments
• CompleteCIRO regulatory trade marker corrections
• Demonstratefull understanding of the implications of dealing with trading and compliance issues while ensuring that the confidentiality of customer information is maintained at all times
• Adhereto policies and practices that regulate the investment industry by escalating all complaints as necessary
• Maintainaccurate records of reviews and activities - such as recording identified issues follow ups actions taken etc.
• Assist with Order Management duties (if required) vetting orders trade corrections option spreads foreign trades and general trade inquires.

Do you have the skills that will enable you to succeed in this role Wed love to work with you if you have:

• Thorough knowledge of industry compliance and trading policies
• Prior investment industry and brokerage industry experience
• Knowledge of PC systems including: Broadridge SCORE AS400 Thompson ONE Microsoft Excel
• Nasdaq SMARTS and other supporting applications
• Strong analytical skills as well as a high degree of judgment and organizational skills and initiative to deal with diverse and complex inquiries relating to Scotia iTrade products and services
• The ability to work in a fast-paced environment where volumes are dictated by market trends customer demands seasonal peaks and advertising campaigns
• The ability to work independently within the boundaries of existing policies and guidelines -- referring to management complex situations and issues not encompassed within the guidelines
• Proactivityin their monitoring and initiative to change their tasksand to advise management of necessary changes and modifications as the job continues to evolve.
• The incumbent must exercise judgment in the prioritization of his/her workload to ensure optimum response times are met and adherence to established service standards is maintained
• Fluency in verbal and written French is an asset

Education / Required Accreditation:

• Successful completion of Canadian Securities Course (CSC)
• Successful completion of Conduct and Practices Handbook (CPH)
• Successful completion of Derivatives Fundamentals Course (DFC)
• Successful completion of Options Licensing Course (OLC)
• Successful completion of the Investment Dealers Supervisor Course and Options Supervisor Course is preferred

Whats in it for you

Come work in a diverse and inclusive workplace with supportive peers and leaders who will invest in your onging development and career momentum!

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.