Senior Compliance Officer, Global Control Room Information Barriers Surveillance

Location(s): Canada : Ontario : Toronto

Purpose

Contributes to the overall success of the Global Information Barrier Surveillance Program within the Global Control Room by maintaining Information Barriers to safeguard sensitive, confidential, and material non‑public information within the Bank. Ensuring all activities are conducted in compliance with governing regulations, internal policies, and procedures.

Accountabilities

• Support the development and implementation of the Global Information Barriers Surveillance program for the GBM&T and Global Control Room, in relation to reviews and escalations against the Watch Lists and the Restricted Lists for Inventory Trading / Employee Trading Reviews and E‑Communication Lookback Surveillance.
• Monitor the functions for Surveillance in the Global Control Room, identifying key risk indicators and assessing and testing the adequacy of controls, identifying non‑compl...