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About the Role

The Compliance Officer contributes to the Global Control Room Information Barriers Surveillance Program by managing the Surveillance process to safeguard sensitive, confidential, and material non-public information, ensuring compliance with regulations, policies, and procedures.

Responsibilities

• Support the Global Control Room Information Barriers Surveillance program for GBM&T in relation to reviews and escalations against the Watch Lists and the Restricted Lists for Inventory Trading, Employee Trading, Lookback Reviews, and E-Communication Surveillance.
• Identify key risk indicators, assess and test control adequacy, identify non-compliance issues, and implement corrective action or process improvement.
• Recommend enhancements to the Surveillance program, develop new areas of review, and complete other assigned duties and projects.
• Identify opportunities to use technology to enhance program delivery for Surveillance processes, liaising with internal development teams and assisting with process automation.
• Assist with other duties and projects in the Global Control Room, including acting as back-up for the Team when required.
• Assist in the preparation of responses to inquiries from regulatory bodies as they relate to the Surveillance function.
• Collaborate with managers, business analysts, and developers internally and externally to drive project delivery on time and within budget.
• Contribute to the delivery and implementation of new technology by facilitating and performing end-user testing, data validation and normalization, end-user procedures, aids and training materials, and considering all key project aspects.
• Provide ongoing updates and support to Surveillance team members throughout product testing and implementation stages.
• Champion a customer-focused culture to deepen client relationships by leveraging broader Bank relationships, systems, and knowledge.
• Understand the Bank’s risk appetite and risk culture in relation to day-to-day activities and decisions.
• Actively pursue effective and efficient operations in accordance with Scotiabank’s Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to, and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions, and conduct risk.

Requirements

• Post-Secondary education and/or professional designations.
• A minimum of 2 years of relevant experience in an institutional business or compliance setting in a large financial institution, established securities dealer or regulatory agency.
• Knowledge of industry practices regarding institutional compliance matters.
• Institutional, corporate banking, treasury, capital markets, compliance, regulatory or audit experience.
• Self-motivated; ability to work both independently and collaboratively with multi-functional teams.
• Excellent communication (oral and written) and interpersonal skills required.
• Highly organized and capable of dealing with multiple, complex projects simultaneously.
• Ability to deliver results in a fast-paced, challenging, and dynamic business environment.
• Sound judgment in identifying risks to proactively escalate with relevant senior management.

Location

• Canada
• Ontario
• Toronto

Work Type

• Full-time

Experience Level

• Minimum of 2 years of relevant experience

Education Level

• Post-Secondary education
• Professional designations

Benefits

• Competitive compensation
• Comprehensive benefits plan

About the Company

• 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.

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. If you require technical assistance, please click here.