Director, Markets Compliance Officer

 

 

 

Requisition ID: 225527

 Salary Range: 180.000,00 - 301.500,00 

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 U.S. 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

 

In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading businesses by acting as a team leader for Markets Compliance.

 

What You'll Do

 

• Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US sales and trading businesses and coordinating with other Compliance officers outside the U.S. to reinforce a global approach to compliance.
• Operating with minimal direction. Exhibiting leadership skills while providing support for the compliance program for the sales and trading businesses.
• Developing teams and talent with diverse capabilities; building a high-performance environment and implements a people-centric strategy that attracts, retains, develops and motivates the team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.
• Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings.
• Provide compliance support for equities and fixed income sales and trading businesses by advising on the application of laws, rules, and regulations, as well as internal policies and procedures.
• Proactively identify issues and participate in remediation and regulatory change initiatives and provide regular updates to relevant stakeholders.
• Ensuring issues are resolved and management action plans involving Compliance are properly drafted to identify the steps necessary to close the findings.
• Coordinate with Regulatory Relations to manage regulatory examinations by evaluating and responding to requests from regulators including SEC, FINRA, NY Federal Reserve, and US Treasury Department. In coordination with Legal, analyze and respond to regulatory enforcement investigations.
• Analyze new and proposed laws and regulations, determine the applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact of controls to address ongoing compliance.
• Coordinating activities with Internal Control to reinforce the Scotiabank U.S. front office system of supervision and control.
• Providing guidance for compliance-related issues identified in internal audits and Compliance Testing reviews.
• Playing a key role on the initiative to improve U.S. compliance policies. Dra