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    Senior Compliance Officer - Toronto, Canada - Scotiabank

    Scotiabank
    Scotiabank Toronto, Canada

    1 week ago

    Scotiabank background
    Description

    Purpose

    Contributes to the overall success of the Compliance/ Canadian Wealth Distribution (CWD) 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

  • Champion a customer-focused culture to deepen client relationships and leverage broader Ban relationships, systems and knowledge.
  • Provide written and oral advice to the businesses on a variety of compliance matters, for order execution only and full-service brokerage as required. Provide support to the Senior Managers and Directors, Compliance, CWD in developing, monitoring and regularly updating the businesses' Compliance operations to ensure that regulatory risks are managed effectively and efficiently and in accordance with the Bank's Risk Appetite. Primary responsibilities include conducting advisory activities and investigations. This includes research and/or investigate potential violations of regulations, policies and procedures and ensure effective remediation of non-compliance situations
  • Assist with regulatory filings, requests, and responses to provide support to the Senior Managers and Directors in the monitoring of regulatory developments, the maintenance and updating of policies, procedures, and compliance systems, testing and monitoring programs, regular reporting to senior Compliance and business management and the timely escalation of material compliance concerns; provide expert advice and counsel to the businesses; provide training to the businesses and centralize Compliance functions as required.
  • Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including Canadian Investment Regulatory Organization - CIRO Rules including Investment Dealer Partially Consolidated (IDPC) Rules 1400, 3100 & 37000 and internal policies and procedures to detect violations and potential violations
  • Conduct effective follow-up on issues and potential violations identified in a timely and efficient manner
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day 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 day-to-day 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

    • Education/Experience

  • Knowledgeable about securities, regulatory environment, and ethical standards.
  • College Diploma or bachelor's degree and/ or a minimum 5 years relevant experience in the financial industry preferably within a regulatory compliance, audit or risk function
  • Highly knowledgeable about the businesses' activities, products & services, and organization.
  • Able to assess difficult compliance and other regulatory issues, exercise sound judgment expeditiously with respect to such issues, defend decisions with the businesses.
  • Able to identify areas of regulatory, reputational and conduct risk and escalate all issues appropriately.
  • Able to effectively work with and influence business and other control functions personnel in the businesses to implement compliance-risk management initiatives
  • Able to communicate effectively verbally and in writing with business stakeholders and Compliance staff.
  • Spanish is a strong asset
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