Senior Manager, Employee Trading Surveillance & Policy Governance - GBM&T Compliance

Requisition ID: 254106
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Contributes to the overall success of the Global Banking & Markets and Treasury ("GBM&T") Compliance Canada program. The Senior Manager will work closely with the Director, Employee Trading Surveillance & Insider Regulatory Reporting - Global Compliance the GBM&T Compliance Canada team and will provide ongoing support to the Employee Trading Canada and GBM&T Compliance Canada.

Accountabilities

• Assist the Director with overseeing the Employee Trading Surveillance program, ensuring compliance with the Personal Trading Policy and regulations.
• Maintain Operating Effectiveness of Employment Trading Surveillance through secondary reviews and coaching team members and the maintenance of dashboards and metrics
• Assist the Director with SEDI filings for the Reporting Insiders and member of the Board of Directors
• Provide reporting to senior leadership, highlighting trends, risks, and areas for improvement in employee trading oversight.
• Employ continuous improvement mindset in relation to surveillance processes by identifying opportunities for automation and efficiency gains, making sure the program can grow and handle more work as the organization expands.
• Oversee the policy and procedure management end-to-end processes, ensuring timely development, review and approval of new and amended policies.
• Coordinate with policy owners, ensuring clear communication on timelines, expectations, and drafting requirements.
• Support policy owners by providing best practices, templates, and resources to ensure consistency and quality across all policy documents.
• Participate in the monthly meetings to provide feedback on proposed bulletin communication to the business
• 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.
• Maintain a high level of awareness of compliance related industry developments.

Education/Experience

• Post-Secondary education and/or professional designations
• At least 5 years of related experience at a major financial institution.
• Capital markets, compliance or regulatory experience
• Proficiency in Microsoft Excel is
• Self-motivated; ability to work both independently and collaboratively with multi-functional teams

• Highly organized and capable of dealing with multiple, complex projects simultaneously
• Ability to deliver results in a fast-paced, challenging and dynamic business environment

• Sound judgment in identifying risks in order to proactively escalate with relevant senior management
• Excellent oral and written communication skills

Location(s): Canada : Ontario : Toronto
Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.
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.