OTC Trade Surveillance Compliance Specialist

Scotiabank; Toronto; On-site; CAD 110,000 - 160,000; Full time

Job summary

Scotiabank in Toronto is seeking a Compliance Officer to support the Global Compliance Trade Surveillance team within GBM&T Compliance in Canada. The role focuses on Tier 2 activities, post-trade surveillance, and regulatory inquiries, with collaboration across business units to ensure adherence to policies and procedures.

The ideal candidate has deep knowledge of equity, fixed income or derivatives markets, and strong communication skills to interact with teams and regulators.

Qualifications

• Minimum 5 years of related experience at a financial institution.
• Understanding IIROC dealer rules and UMIR.
• Canadian securities knowledge and regulatory compliance.
• Post-secondary education and/or professional designations.
• Excellent oral and written communication.

Responsibilities

• Conduct post-trade market surveillance and adjudicate alerts.
• Support regulatory requests and internal audits with data extracts.
• Assist in developing and enhancing surveillance procedures.
• Ensure day-to-day controls align with risk appetite and code of conduct.
• Promote teamwork and maintain an inclusive work environment.
• Analyze external market activity impacting trading.

Skills

MS Office

Programming skills

Communication skills

Education

Post-secondary education

Canadian Securities Course

Conduct and Practices Handbook Course

Trader Training Course

Job description

Scotiabank in Toronto is seeking a Compliance Officer to support the Global Compliance Trade Surveillance team within GBM&T Compliance in Canada. The role focuses on Tier 2 activities, post-trade surveillance, and regulatory inquiries, with collaboration across business units to ensure adherence to policies and procedures.

The ideal candidate has deep knowledge of equity, fixed income or derivatives markets, and strong communication skills to interact with teams and regulators.