Compliance Officer, Trade Surveillance (OTC)

Job description

Requisition ID: 254985 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 Compliance Trade Surveillance Department (“GCTS”) within Global Banking and Markets & Treasury (“GBM&T”) Compliance in Canada, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. The Compliance Officer (“CO”) is responsible for carrying out certain Tier 2 compliance activities for assigned internal business groups in accordance with global and local regulatory requirements as well as internal policies and procedures. Accountabilities: Conducts post-trade market related surveillance to adjudicate alerts within the sector(s) the CO is responsible for supporting and reviews securities trade transactions and identify any suspicious or high-risk activities. Alerts are generated by various surveillance systems and manual processes within the GBM&T Framework Supports the effective and efficient operation of GCTS responsibilities and provides back-up support within the team and on other projects as assigned. Assists in re...