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About the Role

The Compliance Officer contributes to the Global Control Room team by ensuring compliance with regulations, internal policies, and procedures, while supporting business strategies and objectives.

Responsibilities

• Administer compliance programs related to confidential and material non-public information (MNPI), including list maintenance, wall crossing, conflict management, research disclosures, regulatory requests, and securities aggregation.
• Manage and resolve conflicts of interest between business groups such as Investment Banking, Corporate Banking, Equity Capital Markets, Debt Capital Markets, and Research using trading/research restrictions and information boxes.
• Maintain and update deal records for all transactions submitted to the Global Control Room, including amendments to watch/restricted lists.
• Apply the Bank’s Information Barriers policy throughout the deal lifecycle and in ad-hoc situations like wall crossings and deal tree separations.
• Review and pre-clear trade requests from business groups including Equity Derivatives Trading, Prime Services, and Treasury/Pension Groups based on securities aggregation data and systems.
• Perform chaperoning duties to enforce Information Barrier rules and ensure the independence of Equity Research, facilitating interactions between Investment Banking and Equity Research via chaperoned communications.
• Manage the impact on Research within the Bank’s risk appetite, including reviewing notes prior to publication, prohibiting publication when necessary, conducting safe harbour analysis, and updating research disclosures.
• Assist in preparing responses to regulatory inquiries related to Control Room functions.
• Support Control Room Management in developing internal policies and procedures to enhance program delivery and adapt to regulatory changes.
• Collaborate with managers, business analysts, and developers on new technology projects, including facilitating and performing end-user testing, data validation, procedure development, and training material creation.

Requirements

• Post-secondary education and/or professional designations.
• 1-3 years of relevant experience in an institutional business or compliance setting within a large financial institution, established securities dealer, or regulatory agency.
• Knowledge of industry practices for institutional compliance matters.
• Effective oral and written communication skills.
• An enquiring mind, sound judgment, and strategic thinking with the ability to be tactical and pragmatic.
• Ability to learn, adapt, and remain resilient in a dynamic regulatory and business environment.
• Comfort with Microsoft applications (Word, Excel, PowerPoint).
• Strong analytical skills.
• Capability to handle multiple tasks simultaneously and meet stringent deadlines.
• Self-motivated, confident, and able to work independently and in a team.
• High level of integrity.
• Understanding of Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules is an asset.
• Understanding of Canadian securities and banking legislation is an asset.
• Experience with Bloomberg is an asset.

Skills

• Microsoft Word
• Microsoft Excel
• Microsoft PowerPoint
• Bloomberg
• Analytical skills
• Communication skills

Location

• Toronto, Ontario, Canada

Work Type

• Full-time

Experience Level

• 1-3 years

Education Level

• Post-secondary education
• Professional designations

Benefits

• Competitive compensation
• Comprehensive benefits plan

About the Company

• Scotiabank is a leading bank in the Americas.
• Our purpose is: 'for every future'.
• We help 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.

Equal Opportunity

• 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.