Senior Compliance Officer, Trade Surveillance (OTC)

Purpose

The objective of the Senior Compliance Officer (SCO) is to directly conduct capital markets trading related surveillance, monitoring and support for the Global Banking and Markets & Treasury (GBM&T) business division of Scotiabank. The SCO is responsible for carrying out Tier 2 compliance activities for assigned internal business groups in accordance with regulatory requirements, in particular those established by securities regulations and Self Regulatory Organizations as well as internal policies and procedures.

Accountabilities

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Conduct reviews of alerts (not same day) generated by automated surveillance systems, focused upon OTC product trading by traders, sales staff and clients. Some manual reviews on this sector may also be required.
• Generate reporting for trade surveillance activities rela...