Business Analyst – Trade Surveillance- Capital Markets
Story Behind the Need:
Our Compliance Transformation program is seeking a Business Analyst – Trade Surveillance to join our team. We are building a leading, best-in-class Global Compliance function to: maintain customer trust, deliver efficiencies across business units, and to be trusted advisors and partners to protect the Bank’s reputation and strengthen our overall Compliance program.
Typical Day in Role:
– Support & co-ordinate UAT activities. Document test cases, test result, exit reports, test plans, status reports to ensure traceability to user requirements in accordance with project scope, strategy and schedule
– Understand business requirements and translate them into User Stories
– Identify operational, compliance, regulatory, internal audit, and AML requirements. Design relevant automated solutions to help manage/mitigate risks. This includes writing detailed requirements specifications during design, development, testing and implementation phases.
– Understand the complexity of end-to-end Trade Surveillance projects and successfully deliver implementations, strategies, and policies.
– Develop and maintain productive relationships with key stakeholders.
– Investigate and document defects/data incidents reported by users and work with Technology/ Vendor to resolve defects. This includes facilitating and/or participating in regular meetings with key project stakeholders
– Facilitate workshops or walkthrough sessions with key stakeholders for prioritising and defining scope
– Conduct impact assessment, data analysis, gap analysis of data related to, but not limited to, alerts, trades, source systems, products & portfolios etc. in order to support Global Compliance team
– Implement technical solutions as part of a wider team, including involvement in testing.
– Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
– Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
– Champions a high-performance environment and contributes to an inclusive work environment.
– Support projects across the enterprise and business unit
– Support the business needs of the Monitoring Program within the Global Compliance team at Scotiabank.
– Provide business analysis and technical expertise for both immediate needs projects and transformation design programs.
– Ensure all activities conducted comply with governing regulations, internal policies and procedures.
Must Have Skills/Requirements:
1) 5+ years of experience in a similar Business Analyst position
2) 5+ years of experience in the financial services industry WITH 3+ years specific Capital Markets & Trade Surveillance experience
3) 5+ years of experience working out of the MS Office suite specifically with expert PowerPoint and Excel skills (PIVOT Tables, VLOOKUPS, etc)
Nice to Have/Highly Preferred Skills:
1) Experience with Bloomberg and/or trading applications is highly preferred
2) Regulatory experience
3) Exposure to eComm Surveillance and surveillance program life cycles – demonstrated in recent projects
4) Understanding of data management
5) Familiarity with SMARTS NTS – trade surveillance platform an asset
– Excellent English verbal and written communication skills are essential
– The role requires leadership skills, hands-on technical experience, and a can-do approach towards environment automation / management and continuous improvement for efficiency and cost effectiveness
– Must be reliable, proactive, results-oriented, customer-focused and attentive to details.
– Must be flexible to adapt to a dynamic environment, make quick and sound decisions under pressure
– Strong organizational skills, excellent problem-solving, communication, and collaboration skills
– Inquisitive mindset; eager to learn and acquire knowledge
– Willing and able to adapt to changes in the work environment, manage competing demands and able to deal with frequent change, delays or unexpected events.
Education and Certifications:
– Post-secondary graduate of Business, Project/Program Management or related discipline.