• Maintains deep knowledge & understanding of industry issues and practices, regulatory requirements and associated changes.
• Generate reporting for trade surveillance activities relating to specific GBM&T business lines, business divisions of Scotia Capital Inc (“SCI”) and/or defined products, as defined in the Procedures.
• Conduct Quality Assurance (QA) of compliance reviews (Automated alert reviews and manual reviews)
• Conducts periodic reviews, analysis and testing of alert scenarios for alert optimization
• Assist and provide guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts
• On an ongoing basis, monitors and reports on the state of the program through regular meetings with business, compliance and control personnel, the preparation and/or review of management.
• Identifies non-compliant situations and trends and provides recommendations for remediation.
• Assists on specific projects (e.g. special investigations, regulatory initiatives etc.).
• Act as a resource for the team by supporting the Trade Surveillance department Senior Manager and Director and assisting Compliance Officers and Senior Compliance Officers in the execution of their duties.
• Supports effectiveness testing of business supervision related processes and controls, including identification of gaps in the existing trade surveillance processes.
• Assist in the development and enhancement of policies, procedures and processes of the surveillance program.
• Assist other team members, provide back-up support on alert reviews and guidance within the team and other projects as assigned.

Education/Experience

• Advanced understanding of retail and institutional Equities, and/or Listed Derivatives trading, including knowledge of hedging and other trading strategies.
• Post-Secondary education and/or professional designations.
• Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course, DFOL, DFC or equivalent preferred.
• Minimum of 5-7 years of related experience at a financial institution and/or regulated securities dealer.
• Able to work independently and with other staff across functional lines within the Bank.
• In-depth knowledge of regulatory (UMIR/MX) and compliance requirements.
• Identify external market activity, news and additional factors that may influence trading activities.
• A comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets, Dodd-Frank Act, Volcker Rule and MiFID II or MAR.
• Proficiency in advanced excel macros, custom coding and desktop tool building capabilities.
• Excellent verbal and written communication skills.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Bilingual preferred