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Senior Manager, Markets Compliance Officer
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$110,700 - $211,800 a year
Full-time
- Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years.
- Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals.
- Evaluate US and global new business proposals as required under NIRA/NIA policies.
- Actively pursue effective and efficient operation of assigned responsibilities in accordance with Scotiabank's Code of Conduct, and relevant Bank policies, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Knowledge of relevant SEC and FINRA rules and regulations including transaction reporting, best execution, market access, Consolidated Audit Trail (CAT) requirements, etc.
Expired 17 days agoInactive Job
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