Is this role right for you?

In this role you will:
 
• 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 perspective -- such as market manipulation, restricted buys, restricted accounts, insider trading
• Identify high risk accounts, notifying management and other departments as required
• Conduct monthly reviews of client statements 
• Perform compliance and regulatory tasks, such as investigating inquiries arising from the review of monthly account statements and/or queries ...