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Understands Scotiabank's risk appetite and risk culture and use the bank's risk mitigation strategies and processes to manage risks in day-to-day trading activities and decisions.
Ensures that they conduct themselves in accordance with Scotiabank's Values, its Code of Conduct and Global Sales Principles.
Maintains up-to-date knowledge on markets, products, competitors, and regulatory changes.
Adhere to trading compliance requirements, internal / external guidelines, rules, and regulations by:
Trader, Equity Products (Contract)
Toronto, ONPosted 1 months ago
Contractonsitemid
Job Description
- Ensuring all business is conducted within internal and external guidelines, rules, and regulations.
- Escalating any control gaps, they identify to TSG management to mitigate operational risk.
- Ensuring trades are completed within the regulatory and business rules of the underlying product.
- Ensure trades are booked accurately, in a timely manner and within market convention while maintaining the highest level of focus on the trade details.
- Address and document trading errors and once identified, escalate as appropriate.
- Maintain the highest level of integrity and ethics as it pertains to the trading and managing sensitive and confidential information.
- Knowing and adhering to all regulatory requirements, compliance, and internal business policies and procedures.
- Assist the TSG's Supervision team with regulatory and operational risk queries from Wealth Compliance and internal risk groups.