Toronto Employment Platform

Corporate & Investment Banking – Research Advisory Compliance Officer

Requisition ID: 99786Join the Global Community of Scotiabankers to help customers become better off.

 

 

Title: Corporate & Investment Banking Compliance Officer

 

Purpose:

 

The Corporate & Investment Banking (“CIB”) Compliance Officer will work within the U.S. CIB Advisory Compliance team responsible for providing advice and training to CIB, Equity & Debt Capital Markets and Equity Research business lines in the United States.  Additionally, in support of the Scotiabank three lines of defense model, the CIB Advisory Compliance Officer will conduct periodic reviews and testing of the business lines under coverage.

 

The U.S. CIB Advisory Compliance team is part of the Global Compliance function at Scotiabank and this position is expected to work closely with global colleagues to ensure deployment of a cohesive, comprehensive strategy as well as consistency of advice where appropriate.

 

Is this role right for you?

 

Provision of advice in a timely manner to lines of business as relates to regulation, risk management and Bank policies and procedures
Participate in drafting and delivery of periodic in-person training to various groups of employees under coverage
Draft new and review existing policy and procedures to ensure the Bank continues to be in compliance with regulatory standards and industry best practices
Conduct periodic reviews and testing of key elements of the Compliance programs for the business lines under coverage to detect non-compliance and validate compliance with required policies and procedures
Work closely with Global Control Room personnel supporting their work including but not limited to potential conflicts of interest, research review, chaperoning issues and other matters escalated for input
Participate in annual and quarterly compliance risk assessment processes and regulatory library updates to ensure business lines are accurately assessed against the regulatory obligations and controls in place
Enhance management reporting to provide clear key risk indicators and statistics to business and Compliance management
Develop and maintain strong internal client relationships with focus on ensuring Compliance supports the Bank in its customer focused strategy
Champion a high-performance environment and promotes a work style that adapts to change, encourages teamwork and fosters cooperation within the Global Compliance teams 
Assist in regulatory request responses and examinations
Participate in Compliance Testing and Audit reviews of business lines under coverage as well as Compliance
Work collaboratively with U.S. and global Advisory Compliance teams including working closely with and sharing information with global Control Room colleagues
 

Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if:

 

A minimum of 5-7 years of Control Room, Corporate & Investment Banking (including equity/debt origination) and/or Research compliance experience. 
Strong understanding of applicable U.S. securities regulations e.g. SEC 10b-5, Rule 14e5, securities offering regulations (`33 Act), FINRA rules such as Rule 2241 and the Global Research Settlement
Knowledge of Federal Reserve Bank Regulations relating to corporate lending a plus
Strong written and spoken communication abilities
Teamwork, interpersonal and conflict resolution skills
Organized, eager to learn and capable of juggling multiple priorities
Strong judgement and decision-making skills
BA/BSc or international equivalent.  JD desired but not required.
Securities licenses, e.g., Series 7/79 preferred, but not required
Strong computer skills i.e. Microsoft package
 
 

Location(s):  United States : New York : New York City 

As Canada’s International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. Our employees are committed to a superior customer experience and use the Bank’s six guiding sales practice principles to ensure they act with honesty and integrity.At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

Only candidates can apply for this job.
Share this job

About Us

Talent Portal is a Toronto-based Job Board and Employment Platform. We are dedicated at helping talents reach their dream career.Candidates can search for jobs and set job alerts to receive new job notifications via email; Employers can post jobs online, and receive applications via email. It is free for both employees and employers.

Company Search

Social Networks