Compliance Officer, Trade Surveillance - Toronto, ON MH A
Only for registered members Toronto, ON MH A, Canada
1 week ago
Job summary
The Compliance Officer (CO) is responsible for conducting capital markets and retail trading surveillance and providing compliance support for the Global Banking and Markets & Treasury (GBM&T) and Wealth Management business divisions of Scotiabank.Responsibilities
- Conduct near real-time and post-trade surveillance for Listed Products (Equities, Options, Futures). Analyze and address alerts generated by Nasdaq Trade Surveillance (NTS/SMARTS) and identify potential exchange/marketplace or regulatory rule violations by clients and/or traders.
Job description
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