Director & Head, GWM Business Risk Management, Regulatory

 

 

 

Requisition ID: 270488

 

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

 

Provide leadership and strategic direction for Global Wealth Management's (GWM) U.S. cross-border securities regulatory framework, beneficial ownership oversight, and securities regulatory risk management programs, ensuring GWM can pursue growth opportunities, client acquisition, strategic investments, and geographic expansion in a manner that is compliant, scalable, and aligned with the Bank's risk appetite.
Act as a trusted advisor to GWM U.S. executive leadership on securities regulatory matters that influence U.S. business strategy, revenue growth, market expansion, client experience, and organizational transformation. Lead the development of innovative regulatory solutions that enable business objectives while protecting the Bank's reputation and maintaining regulatory confidence.

 

 

Accountabilities 

 

Beneficial Ownership Program

• • Provides oversight of GWM's beneficial ownership framework to support business growth and strategic investments, by ensuring timely identification, escalation, and management of regulatory ownership obligations across global jurisdictions, including U.S.
  • Advises executive leadership on ownership-related regulatory considerations associated with new business opportunities, acquisitions, and strategic investments. 

 

Cross-Border Initiatives

• • Leads the securities regulatory strategy and risk oversight for initiatives supporting cross-border client activity, market expansion, strategic transactions, acquisitions, and growth initiatives, with particular emphasis on the U.S.
  • Partners with GWM business leaders to identify securities regulatory pathways that facilitate the introduction of new products, services, client segments, and business models while maintaining appropriate risk controls.
  • Advises executive leadership on regulatory implications of strategic growth opportunities and provides recommendations that balance business objectives, client needs, and risk considerations.
  • Leads securities regulatory risk related integration activities related to acquisitions, strategic partnerships, and business transformation initiatives to accelerate realization of business value and revenue opportunities.
  • Champions the development of scalable operating models, governance structures, and regulatory solutions that support sustainable business growth and improve overall client and advisor experience

 

• Identifies opportunities to streamline securities regulatory processes, reduce friction in client-facing activities, and enhance execution speed while maintaining strong regulatory compliance and governance standards.
• Drives alignment between securities regulatory priorities and commercial objectives, ensuring teams proactively identify opportunities to support business growth while effectively managing non-financial risk.
• Leads and drives a customer focused culture throughout their team to deepen business relationships and leverage