Senior Analyst, Regulatory Obligations & Controls, U.S. Compliance

 

 

 

Requisition ID: 201761

 Salary Range: 67,400.00 - 125,200.00 

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, Regulatory Obligations & Controls contributes to the overall success of US Compliance in the US ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives, ensuring all activities conducted are in compliance with governing regulations, internal policies and procedures.
 

This Senior Analyst will report to the Senior Manager, Regulatory Library Integration Lead  and support in (i) the implementation of the U.S. Compliance Department’s process for maintaining its library of legal and regulatory obligations and inventory of associated controls, (ii) collaboration with the relevant compliance advisory team(s) to update the department’s inventory of obligations and controls, (iii) assist the U.S. point of contact for a global database that houses regulatory obligations and risk-related controls and (iv) advocate for the regulatory change management function by assisting front, middle and back office functions in developing and maintaining appropriate regulatory risk-related controls. This role will entail substantial relationship management with various business units, control functions and other teams within the Compliance function, such as the Compliance advisory teams.
 

 

What You’ll Do:

 

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Manage the U.S. Regulatory Library and Control Inventory, including implementing regulatory content solution, collaborating and coordinating with U.S. business line compliance officers and business line support personnel to periodically update the U.S. regulatory obligations and associated controls.

• Support the U.S. point-of-contact for Global Compliance initiatives as they impact the U.S. Regulatory Library and Controls inventory, including discussions relating to extraterritorial obligations and associated controls. 

• Liaise with the Global Compliance project team in the continued enhancement of a global database that houses all regulatory requirements/obligations and risk-related controls applicable to the Bank’s U.S. operations. 

• Assist the Global Compliance project team in developing processes, systems, and standards to map and update applicable legal & regulatory requirements/obligations to relevant policies and procedures and internal controls in accordance with U.S. regulatory expectations and business/control functions.

• Collaborate in the implementation of a global, cross-divisional framework for identifying and tracking l