financial control officer

Scotiabank; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

Scotiabank is seeking a Senior Compliance Officer in Toronto for a contract position. This role focuses on trade surveillance and regulatory adherence, requiring strong qualifications in capital markets and relevant securities licenses. The successful candidate will be responsible for monitoring compliance activities and supporting senior management in ensuring regulatory adherence, making significant contributions to the team's success.

Qualifications

• Understanding of capital markets trading and regulatory frameworks.
• Post-secondary education or equivalent professional designations required.
• Securities licenses are essential.

Responsibilities

• Conduct post-trade market surveillance and investigate potential violations.
• Generate reports and support regulatory inquiries.
• Deliver compliance training and foster a collaborative environment.

Skills

Understanding of retail and institutional equities and/or listed derivatives trading

Hedging strategies

Education

Post-secondary education and/or professional designations

Canadian Securities Course

Conduct and Practices Handbook Course

Job description

Title posted on CareerBeacon - Senior Compliance Officer, Trade Surveillance (Contract)

Job details

Requisition ID: 228549

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

Purpose

The Senior Compliance Officer (SCO) conducts capital markets trading surveillance, monitoring, and support for the Global Banking and Markets & Treasury division of Scotiabank. Responsibilities include Tier 2 compliance activities, regulatory adherence, and trade surveillance using applications like SMARTS.

Key Responsibilities

• Perform post-trade market surveillance and address alerts.
• Investigate potential violations of exchange, marketplace, or regulatory rules.
• Generate reports for senior management and compliance teams.
• Conduct research and analysis on regulatory inquiries and investigations.
• Develop and deliver compliance training and awareness initiatives.
• Support testing of supervision processes and controls, identifying gaps.
• Assist in developing procedures for the surveillance program.
• Respond to regulatory and internal audit inquiries, gathering necessary documentation.
• Support team operations and contribute to a collaborative environment.
• Ensure adherence to operational, compliance, AML/ATF, and conduct risk frameworks.
• Foster an inclusive, high-performance team environment, managing succession and development.

Qualifications

• Understanding of retail and institutional equities and/or listed derivatives trading, including hedging strategies.
• Post-secondary education and/or professional designations.
• Securities licenses, including Canadian Securities Course, Conduct and Practices Handbook Course.

Additional Details

• Location: Toronto, ON (On-site)
• Salary: $23.00 to $64.00 per hour
• Employment Type: Permanent, Full-time
• Start Date: As soon as possible
• Vacancies: 1
• Source: CareerBeacon #2167533

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Until 2025-07-16

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