Requisition ID: 213178
Salary Range: 90,000.00-167,200.00
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 MarketsGlobal 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!
OverviewThe incumbent will be responsible for:
Daily monitoring of e-communication of the GBM personnel and following up directly with traders and sales personnel on alerts where required.Acts as liaison between desk heads and compliance and provides support for the compliance functions locally. Monitor communications to ensure compliance with governing regulations, internal policies and procedures.What You'll DoEmbrace a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.Work in a team environment with specified duties which relate to monitoring and investigating all types of communications generated by GBM and Group Treasury staff.Detect possible regulatory, trading policy or human resources issues that could be embedded in a communication whether written (electronic) or oral (tapped lines).Work closely with the Directors and Sr. Managers of US Internal Control and may also need to interact from time to time with the senior management of GBM and Group Treasury.Assist and contribute to updating, documenting and testing lexicons/scenarios related to Voice & eCommunications supervision.Manage a review of a large number of communications against a significant number of policies that affect the businesses globally, as well as verify details of communications (i.e. has understanding of the content) and determine accuracy (investigate using public sources).Use judgment in managing highly sensitive information and/or situations.Be highly organized and able to keep detailed lists and records to demonstrate compliance with the various Scotiabank policies.Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.Actively pursue effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.Embrace a high-performance environment and contribute to an inclusive work environment.What You'll BringAt least 5 years of experience in a front office supervision role or compliance function.Working knowledge of Securities law, regulations and trading rules.Ability to conduct detailed investigations and write concise reports in a timely manner.Either have it or must be able to obtain US licensing with FINRA (Series 7, 63, 24), if required.Helpful to have proficiencies in English and Spanish.University degree in Business, Economics or related.Prior experience conducting eComms or voice surveillance would be highly desirable.Thorough analytical skills required to work with the various programs and information to ensure completeness of a communication.Work ArrangementDynamic, fast-paced office-based environment. The role operates in a standard trading floor environment which is often very loud and requires intense focus to effectively manage trading and operational risk.Occasional travel may be required.Demands can be unpredictable.In-office work hours may be long due to tight timeframes and the dynamic environment of capital market activities, and to provide support to other locations.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 || United States : Texas : Houston
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 during the recruitment and selection process, please let our Recruitment team know.
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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