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Title:  Senior Manager, Compliance Policies and Procedures Coordinator

 

 

 

Requisition ID: 156058

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

 

The objective of this position is to ensure that the U.S. operations of The Bank of Nova Scotia, Scotia Capital (USA) Inc. and their affiliates (collectively the “Bank”) have appropriate internal controls (i.e., policies, procedures, processes) in place to satisfy applicable U.S. legal and regulatory requirements/obligations. The Coordinator will primarily assist the Head of U.S. Regulatory Controls Management (“Head”) in the implementation of the U.S. Compliance Department’s processes for managing the development and maintenance of Compliance policies, procedures and processes, including playing an integral role in the drafting and review of Compliance-related Policy Documents. The Coordinator will also assist coordinating the U.S. Compliance Department’s review and approval of Global Compliance Department policies and procedures.  The role will entail substantial coordination with various business units, control functions and other teams within the Compliance function.

 

 

 

Is this role right for you? You will be responsible for:

 

 

 

  • Assist various Compliance stakeholders in drafting and reviewing compliance-related policies and procedures, and related internal controls.
  • Enhance and manage robust and comprehensive processes for developing, maintaining and reviewing/approving Compliance Policy Documents (including written compliance procedures), including liaising with Global Compliance to develop and maintain a Compliance Policy Document repository and providing oversight and maintaining database for U.S. written compliance procedures.
  • Establish and maintain appropriate standards for regulatory risk-related policies & procedures and related internal controls and ensure that front, middle and support office functions (including Compliance) adhere to such standards. 
  • Track the development and periodic review of compliance risk-related policies & procedures and related internal controls by front, middle and back office functions (including written compliance and supervisory procedures).
  • Maintain an awareness of and assist with the monitoring of the regulatory environment for new and emerging legislation, policy statements, relevant trends and industry best practices and determine how they impact the Bank’s policies, procedures and related controls.
  • Coordinate new initiative risk assessment process for U.S. Compliance.
  • Manage distribution of U.S. Compliance bulletin communications.
  • Maintain U.S. Compliance intranet site to provide updated information and resources for the U.S. operations.
  • Maintain SharePoint site in support of Regulatory Change Management processes handled by RCM team.
  • Other duties and projects as may be assigned from time to time.

 

 


Do you have the skills you need to succeed? We'd love to work with you, if you have:
 

 

 

  • A minimum of four years of compliance experience preferably with a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses.
  • A minimum of three years of experience establishing and maintaining appropriate standards for regulatory risk-related policies & procedures and related internal controls within the financial services industry.
  • Outstanding written (drafting & editing) and spoken communication abilities. 
  • A good understanding of applicable Federal and State laws applicable to non-U.S. banks operating in the U.S., SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors.
  • Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
  • Ability to work independently and effectively with senior management.
  • Sound judgment in identifying risks in order to proactively escalate to relevant senior management. 
  • Excellent teamwork, interpersonal and conflict resolution skills.
  • Highly organized and capable of dealing with multiple, complex projects simultaneously.
  • Proficiency with standard computer applications including Word, Excel, and PowerPoint. 
  • BA or international equivalent required. JD preferred but not required.     
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Location(s):  United States : New York : New York City 

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.  

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.


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