Associate Director, Retail Surveillance Strategy Officer

Job Description

Job Description WHAT IS THE OPPORTUNITY? Be a part of a global Compliance Surveillance team that is responsible for the design and implementation of surveillance scenarios/controls. In this role, you will be responsible for the development of suitability and sales practices scenarios initially for Canada Wealth Management and then enhancing those globally. In addition, you will oversee the assessment of surveillance controls against relevant in-scope risks for retail businesses (e.g., Wealth Management, Asset Management, and Direct Investing). WHAT WILL YOU DO? Design suitability (e.g., appropriate product for the client) and sales practices (e.g., excess commission) scenarios and write business requirement documents for those scenarios. Facilitate the user testing of the surveillance scenarios. And coordinate the promotion of the scenarios to production. Manage the implementation of multiple concurrent projects. Monitor and control activities according to plan. Continuously identify potential issues, conflicts, and risks. Analyze, mitigate and escalate where appropriate. Present the book of work status. Work with regional teams to define the business and technology requirements for the surveillance program including technology selection, surveillance development, etc. Facilitate the periodic completion of the global surveillance risk assessment which looks at the inherent risk and controls for market manipulation, insider trading, suitability & sales practices risk behaviours. Establish strong working relationships across Surveillance and collaborate and contribute on cross-functional Compliance initiatives and manage the effective implementation of assigned deliverables. WHAT DO YOU NEED TO SUCCEED? Must have: Knowledge of / experience with suitability and sales practices requirements / regulations for wealth management trading businesses Excellent writing skills, especially relating to policies, procedures, and business requirements. Demonstrated communication skills specifically strong presentation skills. Ability to summarize issues, propose solutions, and determine the information and communication needs of the stakeholders and project. Strong organizational, project management and time management capabilities. Deadline-driven and results-oriented; able to meet consistently high-quality standards while handling a variety of tasks and deadlines simultaneously. Nice-to-have : Knowledge of trade surveillance techniques and methodology Some experience with communications surveillance would be an asset. Some experience with agile development and in general software development standards would be useful Experience working in a global organization with global teams across multiple regions, large and complex initiatives. What’s in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, rea

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