Compliance Officer, Scotia Securities Inc.

Compliance Officer at Scotia Securities Inc. responsible for ensuring compliance with governing regulations, internal policies and procedures. Will champion a customer focused culture, conduct daily and periodic reviews, and monitor client mutual fund trade activities.

Requirements

• University Degree (preferably in business or accounting) and or related work experience as a PIM or Compliance Officer
• Qualified to be registered or already registered to sell mutual funds and is expected to have completed the Branch Compliance Officer’s Course
• Good knowledge of securities regulations applicable to the sale and distribution of mutual funds
• Knowledge of SSI, TIFL and Bank policies, procedures and manuals for the sale and distribution of mutual funds through the Bank's branches and alternate channels
• Ability to evaluate risk, to identify control weaknesses, to recommend actions, to follow-up and to report on non-compliance effectively

Benefits

• Performance bonus
• Employee Share Ownership Program
• Pension Plan Matching
• Health Benefits from day one