Title:  Senior Manager, Conduct Compliance Officer

Requisition ID: 210173

 Salary Range: 117,400.00 - 224,700.00 

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 Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related matters, providing insight into effective mitigation of conduct risk and ensuring comprehensive program documentation.  

What You’ll Do 

• Champions a customer focused culture and assist the U.S. Global Banking and Markets business in the implementation of a conduct and consequences program to reinforce a culture of compliance at the Bank.
• Provide day-to-day compliance support for the conduct program by monitoring the reporting, escalation, and timely remediation of conduct-related deficiencies.  
• Provide support to consequence management and regulatory self-reporting governance processes, including preparation of minutes and agendas. 
• Provide support to complaints management processes by tracking and analyzing complaints, maintaining logs, responding to requests for complaints data, and making regulatory reports of complaints as required.    
• Provide support to the Whistleblower Program by acting as a key point of contact for U.S. Compliance. 
• Communicate with local management on conduct-related issues by participating in relevant business forums and internal meetings and preparing written updates.  
• Produce executive-level reporting for conduct metrics, including summary descriptions of issues.
• Create and provide online and in-person conduct-related compliance training.  
• Develop, draft, amend and maintain compliance policies, procedures and manuals related conduct risks.  Participate in the review of compliance policies and procedures as part of the governance process.  
• Participate in compliance risk assessments. Analyze new and amended regulations and enforcement actions.
• Develop and conduct conduct-related monitoring in accordance with written compliance procedures and evidence completion of tasks.
• Analyze data to provide insights and recommendations for mitigating conduct risk.
• Actively pursue effective and efficient operation of responsibilities as a Compliance Officer in accordance with Scotiabank’s values and its Code of Conduct.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Champions a high-performance environment and contributes to an inclusive work environment

What You’ll Bring 

• A minimum of 5 years of financial services compliance or securities/banking regulatory experience.  
• Knowledge of securities laws, SEC and FINRA rules and guidance, FRB regulations, and risk management frameworks.  Knowledge of conduct risk frameworks a plus.
• Highly organized with strong project management skills.
• Strategic thinker with excellent teamwork, interpersonal and conflict management skills.
• Strong computer skills (Microsoft package, especially Excel and PowerPoint). 
• BA or international equivalent required.  JD or legal training preferred.

Competencies

The Conduct Compliance Officer is expected to consistently produce high-quality work product in a timely manner.  They must possess a strong work ethic, be highly motivated, and proactive in performing their responsibilities.  

Key competencies the Conduct Compliance Officer must demonstrate include:

• Analytical skills and able to interpret compliance requirements
• Proactive approach to identifying and addressing issues 
• Ability to work independently without close supervision
• Detail-oriented and able to maintain quality when working under time constraints
• Ability to manage multiple projects and competing priorities effectively 
• Good presentational skills 
• Clear and concise written work product requiring a minimum of editing or revision

Interested? 

If your experience is closely related but doesn’t align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank! 

At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That’s why we work to grow and diversify talent and engage employees in a performance-oriented culture. 

What's in it for you? 

Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs. 

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.