Daily Account Supervision Officer

Job description

Requisition ID: 254792 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose: Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. In the Daily Account Regulatory Officer role, you will contribute to the overall success of the Scotia iTrade daily account supervision team in Canada, ensuring all activities are conducted in compliance with governing regulations, internal policies and procedures. Is this role right for you? In this role you will: Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have: - Conduct daily account supervision via the analysis of various trade reports - Review trades completed by Scotia iTrade staff, ensuring all trades have been appropriately authorized, entered and executed - Identify potential and actual compliance issues and concerns (i.e. AML, Sanctions, UMIR violations, ramping, credit risk and vulnerable clients) - Conduct follow-up inquiries and reviews ensuring appropriate corrective actions are implemented in a timely manner - Identify trading concerns and issues from a regulatory perspectiv...