Senior Compliance Officer, Programs, Global Banking & Markets and Treasury Compliance Canada

Requisition ID: 241238

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Contributes to the overall success of the Global Banking & Markets and Treasury (GBM&T) Compliance Canada Program. The Senior Compliance Officer will work closely with the Senior Manager Programs & Monitoring the GBM&T Compliance Canada team and a diverse set of stakeholders to provide ongoing support of the Global Banking and Markets (GBM) and Group Treasury (GT) Canada Compliance programs in line with Global Compliances strategy and initiatives.

Is This Role Right for You In this role you will:
Focus on the Regulatory Relationship pillar within Compliance foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance regulators and GBM and GT business leaders to support the achievement of initiative deliverables and overall objectives
Assist the Senior Manager in providing engagement planning and responding to Compliance Testing Internal Audit and third-party regulatory reviews/inquiries/examinations
Assist the Senior Manager in responding to time sensitive Requests for Information (RFIs) related to GBM business activity such as investment banking deal transactions or trading activity requests.
Support the development and maintenance of internal documents including procedures for the GBM&T Compliance Canada program
Assist in governance administrative tasks such as business line allocation for budgeting transfer pricing inputs business continuity plan testing and the coordination and logistics management for various reoccurring tasks for the GBM&T Compliance Canada Program
Assist in maintaining updates in the Global Issues Management system for regulatory Compliance events and issues as required
Assist with the preparation of GBM&T Compliance Canada reporting and provide input for other Global Compliance reporting processes
Assist other team members and with ad hoc requests/provide support as needed in respect of other aspects of the GBM&T Compliance Canada Program
Develop and maintain a high level of understanding of the products markets systems and regulations necessary to exercise judgement and problem-solve based on regulatory and policy frameworks as well as awareness of compliance related industry developments.
Understand how the Banks risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursue 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 Code of Conduct
Champion a high-performance environment and contributes to an inclusive work environment.

Do You Have the Skills
Post-Secondary education and/or professional designations
Securities licenses Canadian Securities Course Conduct and Practices Handbook Course (CPH) Trader Training Course (TTC) and/or the Derivatives Fundamentals Course (DFC) preferred
Minimum of 3-5 years of related experience at a financial institution and/or regulated securities dealer
Excellent teamwork interpersonal and conflict resolution skills
In-depth knowledge of regulatory and compliance requirements
Identify external market activity news and additional factors that may influence trading activities
Equities fixed income listed derivative and OTC derivative product knowledge
Comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules Montreal Exchange Rules as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets
Proficiency in excel macros custom coding and desktop tool building capabilities preferred but not required
Strong analytical and investigative skills and demonstrated ability to operate at a strategic level
Sound judgment in identifying risks to proactively escalate with relevant senior management
Excellent oral and written communication skills

Whats In It for You
Champion a high-performance environment and contribute to an inclusive work environment.
The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
A competitive compensation and comprehensive benefits plan.
An organization committed to making a difference in our communities - for you and our customers.
You can expect to be recognized and rewarded for high-performance; you will be supported by leadership through meaningful development conversations that enable faster advancement and internal training to support your growth and development.

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.

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