Job summary We are committed to investing in our employees and helping you continue your career at ScotiaGBS. The objective of this position is to contribute strengthen the Compliance electronic communications (E-Comms) and voice communications (V-Comms) monitoring and surveillance program, inclusive of policies, procedures, processes and methodologies, in place to satisfy applicable U.S. legal and regulatory requirements/expectations. The QA Senior Analyst will perform various reviews on a regular basis and may collaborate on projects integral to the Compliance Monitoring & Surveillance program under the direction of the E-Comms lead, and the Head of the U.S. CM&S; team. Accountabilities - Business Knowledge: Maintain a working knowledge of relevant SRO, Federal, and State regulations applicable to Banks, Broker Dealers, and Swap Dealers, and stay informed on applicable trading strategies and firm policies. - Monitoring and Surveillance Execution: Conduct reviews of electronic and voice communications (E-Comms and V-Comms) to identify unusual activity or potential violations of rules or firm policies. Support investigations by analyzing communications, documenting findings, and escalating issues to the QA Compliance Manager. Collaborate with the Monitoring & Surveillance team to prepare summaries and regular reports for the E-Comms Lead and Head of Compliance M&S.; Perform high-quality surveillance reviews and follow-up investigations, ensuring inquiries are thorough, responses are complete, and documentation complies with regulations and internal policies. Identify areas of non-compliance and recommend appropriate corrective actions. Contribute to the development and maintenance of effective monitoring procedures, methodologies, and rationales. Proactively identify and support the implementation of improvements in processes, technology, and systems. - Risk Appetite and Risk Culture: Understands how the Bank's risk appetite and culture should be considered in day-to-day activities and decisions. - Other Projects and Activities: Supports ad-hoc, unique and/or focused reviews as necessary; and other duties and projects as assigned. - Customer Focused Culture: Champions a customer-focused culture and leverages broader Bank relationships, systems and knowledge. - Relationship Management: Develops and maintains strong relationships with GBM Internal Control and GBM Compliance and applicable support and control functions to remain current on new developments and emerging risks. Primary Manager:Manager, QA Communications Surveillance GBM Compliance Dimensions - This role will support the implementation, documentation, assessing, and oversight on the activities contained in: Global Voice and Electronic Communications Policy GBM Communication Supervision Procedures Communications Supervision Content Standards Procedures applicable to the Compliance Quality Assurrance program - This role will support Global Banking & Markets. Education / Experience / - Strong problem solving, critical thinking, and negotiating skills. - Strong written and verbal skills (must be able to prepare documentation and interact effectively with other Bank departments). - Good accountability and time-management skills. - Strong analytical and investigative skills are required. - Highly motivated; demonstrated ability to multi-task and deliver in a fast-paced, challenging and dynamic business environment. - Strong proficiency of Excel. - Bachelor's degree in business management, finance or accounting. - Bilingual (Spanish / English). Portuguese is a plus. - A minimum of 2-3 years of experience within a compliance monitoring and surveillance role within the financial services industry required. - Knowledge of applicable Self-Regulatory Organizations ( Descripción del trabajo Lorem ipsum dolor sit amet , consectetur adipiscing elit. Nullam tempor vestibulum ex, eget consequat quam pellentesque vel. Etiam congue sed elit nec elementum. Morbi diam metus, rutrum id eleifend ac, porta in lectus. Sed scelerisque a augue et ornare. Donec lacinia nisi nec odio ultricies imperdiet. Morbi a dolor dignissim, tristique enim et, semper lacus. Morbi laoreet sollicitudin justo eget eleifend. Donec felis augue, accumsan in dapibus a, mattis sed ligula. Vestibulum at aliquet erat. Curabitur rhoncus urna vitae quam suscipit , at pulvinar turpis lacinia. Mauris magna sem, dignissim finibus fermentum ac, placerat at ex. Pellentesque aliquet, lorem pulvinar mollis ornare, orci turpis fermentum urna, non ullamcorper ligula enim a ante. Duis dolor est, consectetur ut sapien lacinia, tempor condimentum purus. Obtén acceso completo Accede a todos los puestos de alto nivel y consigue el trabajo de tus sueños. Inscríbete ahora