Typical Day in Role
• Champions a customer focused culture to deepen client relationships and leverage broader client relationships, systems, and knowledge.
• The incumbent works in a team environment with specified duties which relate to monitoring and investigating all types of communications generated on monitored employees in GBM and Group Treasury.
•The primary role of the position is to detect possible regulatory, trading policy or human resources issues that could be embedded in a communication, whether written (electronic) or oral (tapped lines).
• This position works closely with the Associate Director, Communications Surveillance, of Trade Floor Supervision; and may also need to interact, from time to time, with the senior management of Group Treasury and GBM globally.
• The incumbent must be able to manage a review of large number of communications against a significant number of policies that affect the businesses globally, as well as verifying details of communications (i.e. has understanding of the content) and determining accuracy (investigate using public sources).
• Must be able to use judgment in managing highly sensitive information and/or situations.
• Must be highly organized and be able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies.
• Understand how the client’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
• Champions a high-performance environment and contributes to an inclusive work environment.
Candidate Requirements/Must Have Skills:
• 2-4 years experience as a Compliance Analyst
• Experience working in Capital Markets to understand the lingo used in sales and trading environments.
• Ability to write procedures and prepare concise reports.
• Knowledge of securities laws, regulations and trading rules.
Nice-To-Have Skills:
• Experienced with Microsoft Office program
Soft Skills:
• Strong written and verbal communications
• High attention to detail
• Ability to work in a fast paced environment
• Must be discreet given the confidential nature of the communications reviewed.
Dimensions
• GBM contributes ~30% to the total net income of the Group;
• Communications team will consist of 4 individuals. Part of a larger team of 13.
• Primary operations in Canada but provide support to business lines and other control units globally
• Frequent contact with internal parties across multiple business lines globally
Degrees or certifications:
• Bachelor’s degree in related field