Daily Account Supervision Officer, Scotia iTRADE - Toronto, ON

Scotiabank; Toronto; On-site; CAD 65,000 - 85,000; Full time

Job summary

Join a leading financial institution as a Daily Account Supervision Officer, playing a crucial role in ensuring compliance and effective risk management within Scotia iTRADE's operations. This position requires strong analytical skills, industry knowledge, and the ability to work independently while adhering to regulations. The ideal candidate will be proactive and adaptive, contributing to a diverse, inclusive team focused on success and growth.

Benefits

Supportive peers and leaders

Career growth opportunities

Work in a diverse, inclusive environment

Qualifications

• Knowledge of industry, compliance, and trading policies.
• Experience in the investment and brokerage industry.
• Fluency in verbal and written French is an asset.

Responsibilities

• Conduct daily account supervision by analyzing trade reports.
• Identify compliance issues such as AML and market violations.
• Maintain accurate records of reviews and activities.

Skills

Analytical skills

Judgment

Organizational skills

Initiative

Education

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Derivatives Fundamentals Course (DFC)

Options Licensing Course (OLC)

Investment Dealers Supervisor Course

Options Supervisor Course

Tools

Broadridge

SCORE

AS400

Thompson ONE

Microsoft Excel

Nasdaq SMARTS

Job description

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Title: Daily Account Supervision Officer, Scotia iTRADE - Toronto, ON

Requisition ID: 227772

Join a purpose-driven, high-performing team committed to results and inclusivity.

In the Daily Account Regulatory Officer role, you will contribute to the success of the Scotia iTrade daily account supervision team in Canada, ensuring all activities comply with regulations, policies, and procedures.

Responsibilities include:

• Conduct daily account supervision by analyzing trade reports.
• Review trades by Scotia iTrade staff, ensuring proper authorization, entry, and execution.
• Identify compliance issues such as AML, Sanctions, UMIR violations, ramping, credit risk, and vulnerable clients.
• Follow up on inquiries and reviews, ensuring timely corrective actions.
• Identify trading concerns from a regulatory perspective, including market manipulation and insider trading.
• Identify high-risk accounts and notify management as needed.
• Conduct monthly client statement reviews.
• Perform compliance and regulatory tasks, including investigations and CIRO trade marker corrections.
• Maintain confidentiality and adhere to industry policies, escalating complaints when necessary.
• Keep accurate records of reviews and activities.
• Assist with Order Management duties, such as vetting orders and trade corrections.

Qualifications:

• Knowledge of industry, compliance, and trading policies.
• Experience in the investment and brokerage industry.
• Proficiency with PC systems like Broadridge, SCORE, AS400, Thompson ONE, Microsoft Excel, Nasdaq SMARTS, and other applications.
• Strong analytical, judgment, organizational skills, and initiative.
• Ability to work in a fast-paced environment and independently within policies.
• Proactivity and willingness to adapt tasks and advise management of changes.
• Judgment in prioritizing workload to meet response times and standards.
• Fluency in verbal and written French is an asset.

Education / Certifications:

• Canadian Securities Course (CSC)
• Conduct and Practices Handbook (CPH)
• Derivatives Fundamentals Course (DFC)
• Options Licensing Course (OLC)
• Investment Dealers Supervisor Course and Options Supervisor Course are preferred.

What’s in it for you?

Work in a diverse, inclusive environment with supportive peers and leaders investing in your development and career growth.

Location: Toronto, ON, Canada

Scotiabank is committed to diversity and inclusion. If you need accommodations during the recruitment process, please inform our Recruitment team. Only candidates considered for an interview will be contacted.