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The Compliance Analyst is primarily responsible for support of the sales compliance desk, daily systems for the department, Regulator and Internal Audit Prep and project management for new development. These responsibilities will require the successful candidate to be organized, self-motivated and have the ability to work independently with minimal supervision. The successful candidate will have the opportunity to be trained to become an independent qualified Compliance Analyst.
* Portfolio Aid
– User Access
– Trouble Shooting
– Review of daily exception reporting
– Ratings Challenges
– New Security set-ups
– Development and testing associated with the PA application
– Maintain AXIS database or Alternative investments
* Terrorist Reporting
* Review of daily and monthly terrorist matches and reporting to IIROC and the appropriate securities commissions
* External Pro Accounts
* Tracking and ensuring receipt of all new pro account acknowledgments and annual acknowledgments for registrants
* Tracking and ensuring receipt of all new pro account acknowledgments and annual acknowledgments for employees
* Updating Excel tracking sheet for employees
* Monthly physical statement review of all external accounts
* Omnibus Account Reconciliation for DPII
* Interactive Compliance Manual
* Processing of all updates to the interactive compliance manual
* Audits (Internal, MFDA, IIROC)
– Pre-Audit Productions
– Productions during the field audit
– Audit response productions
– Post Audit follow-up
* Out of Province (Quarterly project)
* Assistance with all additional projects and development within the Compliance department
* Special projects as assigned
* Statement of Policies – Updating regulators and documentation on MAST QUALIFICATIONS:
* Proficient with Microsoft Office (Word, Excel, Powerpoint)
* Background in brokerage operations an asset
* Background in sales an asset
* Completion of CSC, CPH, PDO or Branch Managers Course and EMS or agreement to complete licensing requirements within 6 months
* Knowledge of Dataphile, MAST, LAS and asset.
Scotiabank is an equal opportunity employer and welcomes applications from all interested parties. We thank you for your interest, however, only those candidates selected for an interview will be contacted. No agencies please.