Regulatory Officer at Scotia iTRADE – Toronto
Scotiabank • toronto, Canada
Role Description
Join Scotia iTRADE as a Regulatory Officer in Toronto, focusing on daily account supervision and compliance assurance. This role is vital for maintaining trading integrity and risk management.
In the role of Regulatory Officer, you'll play a key part in overseeing daily account activities and ensuring compliance with both internal policies and external regulations. Responsibilities include analyzing trade reports and resolving compliance issues proactively. Your insights will contribute to enhancing the client's trading experience while mitigating risks associated with trading activities.
Key Responsibilities:
• Analyze trade reports for daily supervision
• Review and check trades for compliance accuracy
• Identify and address regulatory concerns proactively
• Document compliance tasks and follow-up actions
• Assist with Order Management as needed
Requirements:
• Profound understanding of trading and compliance regulations
• Experience in the investment an...
In the role of Regulatory Officer, you'll play a key part in overseeing daily account activities and ensuring compliance with both internal policies and external regulations. Responsibilities include analyzing trade reports and resolving compliance issues proactively. Your insights will contribute to enhancing the client's trading experience while mitigating risks associated with trading activities.
Key Responsibilities:
• Analyze trade reports for daily supervision
• Review and check trades for compliance accuracy
• Identify and address regulatory concerns proactively
• Document compliance tasks and follow-up actions
• Assist with Order Management as needed
Requirements:
• Profound understanding of trading and compliance regulations
• Experience in the investment an...