Requisition ID: 269231 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.  The Compliance Officer contributes to the overall success of the Global Control Room Information Barriers Surveillance Program by managing the Surveillance process to safeguard sensitive, confidential, and material non-public information, ensuring all activities are conducted in compliance with governing regulations, internal policies, and procedures.  

Is this role right for you? In this role, you will

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 the key risk indicators and assess and test the adequacy of controls, identify non-compliance issues, and implement appropriate corrective action or process improvement. Recommend, where applicable, enhancements to the Surveillance program, along with developing new areas of review and completing other duties and projects as assigned. Identify opportunities to use technology to enhance program delivery for the Surveillance processes, including liaising with internal development teams and assisting with process automation for conducting the Surveillance program. 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 both internally and externally to drive the delivery of projects on time and within budget. Contribute to the delivery and successful implementation of new technology by facilitating and performing end-user testing, data validation and normalization, end-user procedures, aids and training materials, and consideration of all key aspects of the project. Provide ongoing updates and support to the members of the Surveillance team throughout the various stages of product testing and implementation. 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.

  Do you have the skills that will enable you to succeed? We’d love to work with you if you have experience with:  

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.

  What's 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.