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Title:  Senior Manager, Conduct Compliance Officer

 

 

 

Requisition ID: 144493

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

 

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

 

  • Monitor reporting, escalation, and facilitate timely remediation of conduct-related deficiencies.
  • Track and manage the U.S. third-party complaints process.
  • Provide support to conduct-related governance forums (including conduct, consequence management and regulatory self-reporting committees) and related processes, including preparation of minutes and agendas.
  • Participate in internal investigations, as needed, to facilitate the compliance response to regulatory inquiries and audits and prepare regulatory filings.
  • Analyze data to provide insights and recommendations for mitigating conduct risk. 
  • Participate in drafting, updating, and implementing conduct-related policies and procedures.
  • Create and provide conduct-related training.
  • Analyze new and amended regulations and enforcement actions.  Participate accordingly in compliance risk assessments.
  • Conduct independent monitoring related to conduct risks where required. 
  • Produce executive-level reporting for conduct metrics, including summary descriptions of issues and presentations.
  • Assist with the preparation of compliance updates to local management committees.
  • Work collaboratively with local and global Legal, HR, Internal Control, Regulatory Relations, business-aligned Compliance officers, Risk Management, and other stakeholders on conduct risk matters.

 

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

 

  • A minimum of 5 years of financial services compliance or securities/banking regulatory experience.
  • Good understanding of FRB, SEC, NYSE, FINRA rules and risk management frameworks.  Experience with conduct frameworks a plus.
  • Outstanding written and spoken communication abilities.
  • Strategic thinker with excellent teamwork, interpersonal and conflict resolution skills.
  • Highly organized with strong project management skills.
  • BA or international equivalent required. Juris Doctor preferred.
  • Strong computer skills i.e., Microsoft Office (especially Excel and PowerPoint).

 

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.


Nearest Major Market: New York City

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