Drive compliance excellence as a Daily Account Supervision Officer. Engage in thorough analyses of trades while safeguarding against regulatory breaches and ensuring market integrity.
Your primary focus will be on monitoring trading activities and ensuring that operations comply with established regulations and policies. This role requires keen insights into complex inquiries and the ability to address high-risk accounts effectively. You'll collaborate with multiple departments to elevate compliance standards and foster a secure trading workplace for clients.
Key Responsibilities:
• Analyze daily trade reports and supervision activities
• Review and verify compliance of executed trades
• Identify and manage compliance violations and issues
• Conduct inquiries and implement corrective actions
• Maintain records of compliance activities and follow-ups
Requirements:
• In-depth knowledge of trading and compliance regulations
• Relevant experience in investment or brokerage operations
• Skills in using Broadridge, Thompson ONE, and Excel
• Strong initiative and judgment abilities
• Completion of the Derivatives Fundamentals Course (DFC) preferred
Utilize your compliance expertise to strengthen the integrity of trading processes and support a proactive approach to account supervision.
#J-18808-Ljbffr
Apply on Kit Job: kitjob.ca/job/2frziq
📌 Daily Account Supervisor with Expertise in Regulatory Compliance (Toronto)
🏢 Scotiabank
📍 Toronto
Reply to this offer
Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.