Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Requisition ID: 223643 Join a purpose-driven, winning team committed to results in an inclusive and high-performing culture. Contributes to the overall success of the Global Control Room team by ensuring the delivery of specific goals, plans, and initiatives aligned with the team’s business strategies and objectives, while maintaining compliance with regulations, policies, and procedures. Is this role right for you? In this role, you will: Administer compliance programs related to the use of confidential and material non-public information (MNPI): list maintenance, wall crossing, conflict management, research disclosures, regulatory requests, and securities aggregation. Manage and resolve conflicts of interest among various business groups including Investment Banking, Corporate Banking, Equity Capital Markets, Debt Capital Markets, and Research, using trading/research restrictions and information boxes as needed. Maintain and update deal records on all transactions submitted to the Global Control Room, including amendments to watch/restricted lists with accurate information. Apply the Bank’s Information Barriers policy throughout the deal lifecycle and in ad-hoc situations (e.g., wall crossings, deal tree separation). Review and pre-clear trade requests from relevant business groups based on securities aggregation data and systems. Enforce Information Barrier rules and regulations to ensure the independence of Equity Research, facilitating interactions between Investment Banking and Equity Research using appropriately chaperoned communications. Manage research disclosures, review notes prior to publication, prohibit publication when necessary, conduct safe harbour analysis, and update disclosures on the Research platform, all with risk management in mind. Assist in preparing responses to inquiries from regulatory bodies related to Control Room functions. Support the development of internal policies and procedures to enhance program effectiveness and reflect regulatory changes. Collaborate with managers, analysts, and developers on technology projects, including end-user testing, data validation, procedures, training materials, and project considerations. Do you have the skills to succeed in this role? We’d love to work with you if you have: Post-secondary education and/or professional designations. 1-3 years of relevant experience in a financial institution, securities dealer, or regulatory agency. Knowledge of industry practices regarding institutional compliance. Effective oral and written communication skills. An inquisitive mind, sound judgment, and strategic thinking, with tactical and pragmatic capabilities. Ability to learn, adapt, and remain resilient in a dynamic regulatory environment. Proficiency with Microsoft Office (Word, Excel, PowerPoint) and Bloomberg (asset). Strong analytical skills. Ability to handle multiple tasks and meet deadlines. Self-motivated, confident, and capable of working independently and in teams. High integrity. Understanding of IIROC rules, FINRA rules, Canadian securities, and banking legislation is an asset. What’s in it for you? An inclusive, collaborative environment that encourages creativity and celebrates success. Competitive rewards: performance bonus, Employee Share Ownership Program, Pension Plan Matching, and health benefits from day one. Career development and progression opportunities. Location: Canada, Ontario, Toronto Scotiabank is a leading bank in the Americas, guided by our purpose: "for every future." We help our customers and communities succeed through a broad range of financial services. We value diverse skills and experiences and are committed to an inclusive environment. If you need accommodations during the recruitment process, please inform our Recruitment team. Only online applications will be considered. We appreciate all interest; only selected candidates will be contacted. #J-18808-Ljbffr