Compliance Officer, GBM Europe Compliance – Temporary (maternity cover)Apply
Join the Global Community of Scotiabankers to help customers become financially better off.
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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.
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. Dimensions
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
Responsible for investigating and resolving escalations received in relation to information barrier breaches.
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.
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
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.