Senior Analyst, Issues Management & Reporting / U.S. Compliance

 

 

 

Requisition ID: 212248

 Salary Range: 69,400.00 - 129,000.00 

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

 

The Senior Analyst, Issues Management & Reporting contributes to the overall success of U.S. Compliance in the United States ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. As this Senior Analyst, you will ensure all activities conducted follow governing regulations, internal policies, and procedures.

What You’ll Do 

 

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Assist the Head of U.S. Compliance Issues Management & Reporting in establishing a framework for identifying, assessing, and reporting compliance risks across the Bank’s U.S. operations. This will entail the identification, tracking and reporting of compliance-related issues resulting from various sources including regulatory exams, Internal Audit, Compliance Testing, and self-assessments.
• Assist in preparing regular comprehensive reports on the Compliance Program for the Head of Central Compliance and senior Compliance management on key compliance metrics, risks, and controls to ensure escalation of material matters to senior management and the Bank’s board of directors as appropriate.
• Identify key compliance indicators and risk appetite metrics used to measure the Bank’s Compliance risk and effectiveness of internal controls.
• Assist the head of Issues Management & Reporting in the annual refresh of the Compliance Metrics. · Expected to work closely with other teams within the U.S. Compliance program to develop and aid with data related initiatives.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct, and the Global Sales Principles, 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 contributes to an inclusive work environment.

 

What You’ll Bring 

 

• A BA or international equivalent (required)
• A minimum of 2 years of compliance experience preferably with a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer.
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