Compliance Officer, Scotia Securities Inc - Toronto
2 weeks ago
Job summary
Join a purpose driven winning team committed to results in an inclusive and high-performing culture.Contributes To The Overall Success Of Scotia Securities Inc. ensuring specific individual goals plans initiatives are executed delivered in support of the teams business strategies objectives Ensures all activities conducted are in compliance with governing regulations internal policies procedures Participates in a Team supporting 2nd Line Compliance Oversight And Investigations In Ensuring Scotia Securities Inc. its branches and its registered representatives comply with Regulations Tangerine Investment Funds Limited TIPL its registered representatives comply with Regulations Adherence to Scotia Securities Branches BNS TIFL policies procedures controls established for branches other units in support of Scotia Securities mutual fund activities including KYC requirements.
Responsibilities
- Champion customer focused culture deepen client relationships leverage broader Bank relationships systems knowledge Conduct daily periodic Head Office reviews as mandated by regulators per Scotia Securities policies selectively monitor compliance with KYC suitability rules respecting sales practices reviewing applications order forms for suitability completeness reviewing other supporting documentation identification reviewing trades processed for conformity customer investment objectives Monitor client mutual fund trade activities utilizing exception reports focus unusual irregular activity additional reviews cannot carried out branch level such as excessive activity reports required Conduct quarterly review customer statements account activity mandated Canadian Investment Regulatory Organization CIRO formerly MFDA IIROC Complete Head Office supervision review reports timely manner required account supervision daily review client statement reviews Submit monthly directed Senior Manager Compliance Chief Compliance Officer Report any unusual activity suspicion money laundering Assist control evaluation respond serious irregular activity fraud kiting money laundering incidence non-compliance negative trends weaknesses policies practices procedures systems staffing training which could lead non-compliance Recommend monitor action plans correct incidents non-compliance prevent reoccurrence Advise oversees trains branch staff compliance procedures approvals POAs leveraged trades unusual requests Apri management regarding unusual requests questions branches Maintain knowledge applicable national local Regulations participation industry associations seminars Provincial Securities Commission CIRO AMF Quebec industry publications Attention regulatory requirements CIRO Policies Anti Money Laundering/Anti-Terrorist Financing Privacy Regulations perform case investigations Execute agreed procedures specific low moderate complexity confidential nature Provide mentoring coaching feedback recommendations best practices enterprise investigations appropriate Understand Bank risk appetite risk culture should considered day-to-day activities decisions Champion high-performance environment contributes inclusive work environment.
Job description
, consectetur adipiscing elit. Nullam tempor vestibulum ex, eget consequat quam pellentesque vel. Etiam congue sed elit nec elementum. Morbi diam metus, rutrum id eleifend ac, porta in lectus. Sed scelerisque a augue et ornare.
Donec lacinia nisi nec odio ultricies imperdiet.
Morbi a dolor dignissim, tristique enim et, semper lacus. Morbi laoreet sollicitudin justo eget eleifend. Donec felis augue, accumsan in dapibus a, mattis sed ligula.
Vestibulum at aliquet erat. Curabitur rhoncus urna vitae quam suscipit
, at pulvinar turpis lacinia. Mauris magna sem, dignissim finibus fermentum ac, placerat at ex. Pellentesque aliquet, lorem pulvinar mollis ornare, orci turpis fermentum urna, non ullamcorper ligula enim a ante. Duis dolor est, consectetur ut sapien lacinia, tempor condimentum purus.
Access all high-level positions and get the job of your dreams.
Similar jobs
Compliance Officer, Scotia Securities Inc
2 weeks ago
Join a purpose driven winning team committed to results in an inclusive high performing culture Contributes to overall success of Scotia Securities Inc SSI Global Compliance GWM in Canada ensuring specific individual goals plans initiatives are executed delivered in support of te ...
Compliance Officer, Scotia Securities Inc
1 week ago
This role contributes to the overall success of Scotia Securities Inc., ensuring compliance with governing regulations and internal policies. · ...
Research Associate
3 weeks ago
The successful candidate will work closely with our Equity Research Analyst's to produce, distribute and communicate research products and recommendations internally and externally. · ...
Compliance Officer – Trade Conduct
3 weeks ago
The successful candidate will be responsible for overseeing and monitoring the firm's trading activities to ensure compliance with CIRO rules, securities legislation, exchange requirements, and internal policies. · ...
Front Desk Receptionist
1 month ago
We are looking for a receptionist to manage our front desk and perform various administrative and clerical tasks. · Communicate with internal and external stakeholders · Open and lock main front door daily · Coordinates the booking of meeting rooms · ...
Research Associate
3 weeks ago
The successful candidate will work closely with our Equity Research Analyst's, and other senior members of the team to produce, distribute and communicate research products and recommendations internally and externally. · ...
Compliance Officer – Trade Conduct
3 weeks ago
The firm offers a comprehensive corporate access platform that includes Corporate Advisory, Marketing, Investment Banking, Research, providing unmatched value to issuer clients. · Oversight and monitoring of the firm's trading activities to ensure compliance with CIRO rules, secu ...
Front Desk Receptionist
1 month ago
We're looking for a receptionist to manage our front desk and perform administrative tasks. · Communicate with internal and external stakeholders. · Open and lock main front door daily. · Cookies meeting rooms. · ...
Cybersecurity Engineer
1 month ago
We are seeking an experienced Cybersecurity Engineer to strengthen our organization's information security posture across endpoints, networks, cloud services, · and applications.Own threat and vulnerability management driving remediation of misconfigurations · and weaknesses acro ...
Lead Security Technician
3 weeks ago
Lead security technician required for senior technical role in commercial security projects. Responsible for leading technical execution in the field and providing technical leadership to installation partners. · ...
Fraud Analyst
1 week ago
Rakuten Kobo Inc. is seeking a Fraud Analyst to join its Risk Management team. The successful candidate will oversee the management of payment gateway fraud detection engines and provide in-depth trend data analysis. · ...
Security Engineer
4 weeks ago
Job title: Security Engineer Client: BANK Location: Toronto ( Hybrid, 3 - 4 days onsite) Position Type-Contract Please reply with your expected Contract rate range Job Description/ Responsibilities Security Engineer Bank Hybrid, 3 days onsite Toronto ON Requirements Strong develo ...
Retail Security
1 month ago
Synergy Protection Group Inc. is looking for dedicated and professional Retail Security Guards to join our team and help ensure a safe and welcoming environment for our retail clients in the Greater Toronto Area. · Greet and assist customers, offering directions and answering inq ...
Director, Physical Security
1 month ago
We are seeking an experienced Director, Physical Security to build, lead and manage Aecon's physical security strategy across multiple office locations in Canada and internationally. This role is critical to ensure the safety and security of our employees, facilities, and assets. ...
Lead Security Operations EngineerNew
1 month ago
We are looking for a Lead Security Operations Engineer to design, implement and lead our Security Orchestration Automation and Response SOAR platform. · ...
Director, Information Security
2 days ago
The Director, Information Security is responsible for managing the Governance, Risk & Compliance (GRC) and Information Security Architecture and Operations functions. · ...
Lead Application Security Architect
1 month ago
The Lead Application Security Architect will be part of the central information security team providing security guidance creating application security standards patterns contributing to maintaining Morningstars security posture performing threat modeling security architecture re ...
DevSecOps Engineer
1 month ago
· ...
Security Operations Specialist
3 days ago
We're seeking a Security Operations Specialist to join our teamWe're looking for someone who can monitor and respond to security incidents while effectively collaborating with diverse stakeholders across the organization. ...
Analytics Engineer
4 weeks ago
We offer a casual working start-up environment and a group of friendly and talented individuals. Our employees rank us highly in terms of commitment to work/life balance. · ...