- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
- Provide day-to-day compliance support for CIB and Research businesses, assisting with the provision of advice related to the application of laws, rules, and regulations, as well as internal policies and procedures, to the businesses.
- Assists in the creation and delivery of new hire and other in-person and online training. Coordinate with the Training Group on identifying employees in scope for training and on maintaining training records.
- Review and assist with the development of compliance policies and procedures and written supervisory procedures for accuracy and completeness and compliance with regulatory requirements.
- Provide support for remediation/action plans to facilitate timely closure of findings by Compliance Testing, Internal Audit, and regulatory examinations relating to the CIB and Research businesses.
- Prepare compliance-related management information (including key risk indicators and statistics) and materials for supervisors and governance committees.
- Assist CIB Compliance Officers in the review of compliance risk assessments and Regulatory Library mapping to businesses and controls.
- Assist CIB Compliance Officers in the assessment of the impact of new business initiatives or other ad-hoc projects.
- Work closely with the Control Room personnel on conflicts issues, including issues related to chaperoning of Research and Investment Banking interactions.
- Review requests for cross border business and travel by CIB and Research personnel.
- Prepare responses to regulatory inquiries by obtaining requested information, analyzing any potential compliance issues identified, and drafting a written response.
- Conduct assigned monitoring and compliance processes in accordance with written compliance procedures and evidence completion of tasks.
- Monitor the regulatory environment for emerging legislation/regulation and policy statements of relevant authorities, along with relevant trends and industry best practices applicable to corporate banking, investment banking, and research.
- Contribute to the development of Compliance related Management Information (MI) such as Key Risk Indicators (KRIs) and statistics for Compliance/Business engagement meetings and various oversight committees or forums.
- Work collaboratively with other Compliance Advisory and Central Compliance teams to ensure consistency of approach and information sharing.
- Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursue effective and efficient operation of assigned responsibilities in accordance with Scotiabank's Code of Conduct, and relevant Bank policies, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Champion a high-performance environment and contribute to an inclusive work environment.
- A minimum of 3-4 years with a bank or broker-dealer
- Foundational understanding of securities laws and regulations pertaining to broker-dealers, including an understanding of requirements for information barriers, the management of conflicts of interest, supervision, and registration.
- Demonstrable skills with Microsoft suite of products, including PowerPoint, Excel, etc.
- Possess sound judgement and discretion, capable of properly handling confidential and material non-public information, and able to exercise tact in dealing with difficult situations.
- Able to operate with direction, deliver work product of the appropriate quality, set goals, manage priorities, and meet assigned deadlines.
- Strong organizational, communication (oral and written), and interpersonal skills.
- Able to work independently within guidelines as well as in teams.
- Bachelor's degree required. Post graduate degree (JD or MBA) a plus but not required.
- FINRA registration (SIE, Series 7, and Series 79) a plus but not required.
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Manager - New York, United States - Scotiabank
Description
Salary > Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate's relevant knowledge, skills, and experience.
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Global Banking and Markets
Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank's strong presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world.
Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.
Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries We work together to drive ambition for every future
Purpose:
Contributes to the overall success of the advisory compliance coverage of the Corporate & Investment Banking and Research businesses in the Specific business lines under coverage include Corporate & Investment Banking (CIB), Equity Capital Markets (ECM), Debt Capital Markets (DCM), Global Loan Syndication (GLS), Securitization, Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of advice on compliance with governing regulations and Bank internal policies and procedures to front office, Internal Control, and 2nd line support personnel.
The CIB and Research Compliance Advisory team is responsible for providing day-to-day Compliance oversight, advice, training and monitoring for business areas under coverage. The team also supports Central Compliance activities such as, but not limited to the development of Compliance policies and procedures, performing regulatory horizon scanning and impact assessments, and review of periodic Compliance Risk Assessments.
What You'll Do:
What You'll Bring:
Interested?
If your experience is closely related but doesn't align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank
At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That's why we work to grow and diversify talent and engage employees in a performance-oriented culture.
What's in it for you?
Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.
