Aplica ya : Senior Analyst, QA Communications Surveillance - GBM Compliance...

Overview

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Purpose

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.

Dimensions

Global Voice and Electronic Communications Policy

GBM Communication Supervision Procedures

Communications Supervision Content Standards

Procedures applicable to the Compliance Quality Assurance program

Education / Experience

Working Conditions

Scotia GBS is a Scotiabank Group company located in Bogota, Colombia created to support different processes of the Bank and the development and execution of its global services strategy in 15 countries in the Americas. It is composed of 7 service units. We offer an inclusive, positive work environment, and competitive benefits.

At ScotiaGBS, we value the unique skills and experiences each individual brings to the Bank and are committed to creating and maintaining an inclusive and accessible environment for everyone. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at ScotiaGBS; however, only those candidates who are selected for an interview will be contacted.

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