Compliance Officer, Employee Trading - GBM&T; Compliance
Requisition ID: 270764
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 Banking & Markets and Treasury (“GBM&T;”) Compliance Canada program.

The Compliance Officer will work closely with the Director, Employee Trading Surveillance & Insider Regulatory Reporting, and others on the Employee Trading team, GBM&T; Compliance Canada, and a diverse set of stakeholders to provide ongoing support for the Employee Personal Trading compliance program in Canada in line with Global Compliance's strategy and initiatives.

In particular, the incumbent is responsible for the day-to-day administration of the Employee Personal Trading compliance program in Canada.
**Is this role right for you? In this role, you will:**
Support the day-to-day administration of the Employee Personal Trading compliance program in Canada, which includes the following: Onboarding new employees.

Monitoring employee personal trading, reviewing and approving private placements, and addressing trade violations.

Highlighting issues that may impact the effectiveness of the program and training.

Acting as the point of contact for employees with questions related to the policies and programs the Employee Trading team oversees, and escalating questions as needed.

Assisting in the preparation of reports and statistics for business lines and management.

Assisting in gathering documents needed for responses to inquiries from internal audit or regulatory bodies as they relate to Employee Personal Trading functions.

Champion a high-performance environment and contribute to an inclusive work environment.

Other duties and projects as assigned.





This includes acting as backup for another compliance officer when needed.
**Do you have the skills that will enable you to succeed? We'd love to work with you if you have experience with:**
This position requires
Post-secondary education and/or professional designations
Canadian Securities Course
Minimum of 3 years of related experience at a major financial institution
In-depth knowledge of regulatory and compliance requirements
Knowledge of industry practices regarding institutional compliance matters
Effective oral and written communication skills
The following courses are an asset: Conduct and Practices Handbook
Derivatives Fundamentals Course
Trader Training Course
The following computer skills are an asset
Bloomberg
Microsoft applications (including Word, Excel and Power Point)
Familiarity with the internet and related applications as tools for conducting compliance related research
An understanding of the Scotiabank organizational structure, risk management structure, operational procedures, and the business activities, products, and services offered by the business units would be an asset.

An understanding of the Investment Industry Regulatory Organization of Canada (IIROC) rules and FINRA rules is an asset, as is an understanding of Canadian securities and banking legislation.
**What's in it for you?**




The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of cutting-edge 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, pleaseclick here (https://www.scotiabank.com/careers/en/careers/technical-support-for-applicants.html) .

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.

📌 Compliance Officer, Employee Trading - GBM&T Compliance (Toronto)
🏢 Scotiabank
📍 Toronto