Compliance Officer, Retail Brokerage - Wealth Distribution Compliance
Job in
Toronto, Ontario, M5A, Canada
Listing for:
Scotiabank
Full Time
position
Listed on 2026-03-07
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
Requisition
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
Contribute to the overall success of the Canadian Wealth Distribution Compliance team, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.
Accountabilities
Contribute to a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.Conduct compliance oversight (surveillance duties) in accordance with applicable regulatory requirements including CIRO Rules , 3900) 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.Execute the risk based regulatory compliance monitoring program to identify areas of regulatory compliance risk exposure and eensure that reviews are conducted are high quality and appropriate.Assist in identifying gaps in the existing compliance program and review and investigate compliance issues as they arise and escalate findings.Participates in special projects requiring specialist compliance input and expertise, such as Branch Review Program updates and Compliance Manual reviews/updates.Partner with other Global Compliance groups to ensure consistent and effective execution of the monitoring program across business units.Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.Understand how the Bank’s risk appetite and risk culture should be considered in the execution of day-to-day trade reviews.Participate in a high performance environment by fostering an inclusive work environment and team culture.Education/Experience
College Diploma or University Degree (preferable) and/or 2 years relevant experience in the financial industry (preferably with a CIRO member firm)Relevant Industry accreditations/courses such as CSI Industry courses or equivalents an asset. Ie. Canadian Securities Course;
Conduct and Practices Handbook Course and Derivatives Fundamental Options Licensing Course.Good understanding of the general characteristics, attributes and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as suitability and legitimacy of investment activities.Able to communicate effectively verbally and in writing.Strong analytical skills and a keen eye for detail.Well-developed inter-personal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members.Self-motivated, confident and capable of working both independently and in a team environment.Results oriented and high achiever.Reliable, consistent, disciplined and high level of integrity.Tactful, diplomatic and politely persistent
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