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Compliance Officer, GBM Europe Compliance – Temporary (maternity cover)

Job ID 104774 Jan. 14, 2020 London, United Kingdom

Join the Global Community of Scotiabankers to help customers become financially better off.

A Best Workplace
Scotiabank is a premier financial institution and Canada’s most international bank recognized as a Best Workplace®, in Canada, Mexico, El Salvador, Costa Rica, Puerto Rico, Dominican Republic, Panama, Peru, Chile and Latin America by the Great Place to Work® Institute.

A multinational winning team
Scotiabank is Canada’s international bank and a leading financial services provider in North America, Latin America, the Caribbean and Central America, and parts of Asia. We are dedicated to helping our 21 million customers become better off through a broad range of advice, products and services, including personal and commercial banking, wealth management, corporate and investment banking.

Corporate Social Responsibility
Scotiabank helps to build bright futures worldwide through ethical banking practices, environmental awareness and a commitment to communities.


Contributes to the overall success of the Compliance in London 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.


Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

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 his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.


Conflicts Management

Primary responsibility for Scotiabank Europe conflicts management platform.Primary responsibility for the Conflicts of Interest Policy, Global Information Barrier Policy and related procedures.

Primary responsibility for conflicts of interest monitoring and investigating, insider list and permanent insider list control and maintenance, wall crossing process as well as maintaining related logs and records.

Responsible for representing Compliance Europe on all Global Control Room conflicts management calls and committee meetings.

Responsible for the annual review of the Europe Control Room Operating Level Document

Responsible for the annual review of the Global Information Barriers Policy and the ongoing update and maintenance of related procedures.

Responsible for responding to queries related to the Global Information Barriers Policy and the Conflicts of Interest Policy

Communications Surveillance

Responsible for investigating and resolving escalations received in relation to information barrier breaches.

Regulatory Reporting

Responsible for submitting regulatory disclosures under Takeover Panel Reporting, EU Short Selling, Transparency Directive TR1 – Major Shareholding and Issuer Requests

Responsible for submitting an insider list to the FCA upon request.


Proactively identify actual and potential violations of regulatory requirements, internal policies and procedures or other risk situations by conducting appropriate inquiries and investigations to ensure that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or are escalated

Make recommendations and suggestions to relevant management on corrective or remedial measures to be taken and follow-up


Represent Compliance Europe in global projects that impact the conflict management platform.

Regulatory Awareness

Maintain a good working knowledge of European regulatory rules and principles and how these apply to Scotiabank’s Compliance program.


Primary responsibility for producing Control Room management information including KPI and KRIs to support monitoring of the business activity.

Update the issues log to ensure that issues identified are recorded, reported and resolved adequately


Provide regular training to all Europe staff on the Europe conflicts management platform


Assist on the formulation of new processes or systems to implement compliance with regulatory requirements and to strengthen the controls environment.

Liaising with internal and external audit and attend relevant meetings

Ensure prompt escalation of compliance issues

Maintain compliance knowledge through appropriate training and monitoring of emerging regulatory, legal and Group initiatives and requirements


Solid relevant compliance experience in a financial institution

Administrative and time management skills to meet various deadlines

Strong written and verbal business communication skills

General Competencies

Good working knowledge of UK and European regulatory rules and principles and how these apply to a Control Room

Good understanding of the firm’s business practices, organizational structure, policies and procedures

Superior knowledge of Microsoft applications (including Word, Excel and Power Point)

and familiarity with the internet and related applications as tools for conducting compliance related research

Strong analytical skills and a keen eye for detail

Good time management and the ability to perform work to a high standard of accuracy under time pressure.Capable of simultaneously handling multiple tasks and meeting stringent deadlines

Well-developed interpersonal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members

Able to recognize and handle sensitive and confidential information

Self-motivated, confident and capable of working both independently and in a team environment

Results oriented and high achiever

Reliable, consistent and disciplined

High level of integrity

Tactful, diplomatic and politely persistent

Knowledge of Scotiabank activities

Scotiabank is committed to providing an inclusive and accessible candidate experience. Only those candidates selected for an interview will be contacted. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to meet your needs.

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