Compliance Officer, Canadian Banking Compliance - Toronto, Canada - Scotiabank

Scotiabank

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Requisition ID: 178180

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose_

Contributes to the overall success of the Registration Department in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives.

Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities_
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
The Registration Officer is responsible for the Securities and Insurance registration process, performing all daytoday registration functions. Providing guidance and counsel to employees and branches on regulatory and licensing matters in accordance with department policy and procedures and regulatory requirements.
Manage the securities renewals process which includes registrants, branch and firm with the applicable provinces, territories and states. Maintain communication and determine matters which require further escalation to the management for advice and direction.
Responsible for updating all applicable Registration databases, including the National Registration Database, Active Community and Centralize.
Build and maintain relationships with all regulatory bodies including provincial and US securities regulators. Keep abreast of regulatory changes and/or SRO requirements
Execute various administrative functions to maintain the operation of the department. Provide reporting and feedback to the Manager, Registration on licensed personnel and any correspondence with Regulators, compliance departments, branches or individuals. Identify any areas of deficiencies in the registration process to management.
Participate in SRD projects and other duties as assigned
Understand how the Bank's risk appetite and risk culture should be considered in daytoday activities and decisions.
Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of daytoday business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
Champions a high performance environment and contributes to an inclusive work environment.

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Education/Experience_**- University degree (Business) or College certificate

35 years work experience in the financial services industry.
Relevant working knowledge of Canadian and US Regulatory policies and rules
Strong written and verbal communication skills
Strong analytical and problem solving skills and multitasking skills required
Strong knowledge of National Instrument and and related companion

Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas

Guided by our purpose:
"for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.