Director, Trade Floor Supervision

Requisition ID: 193870
Salary Range: 174,700.00 - 286,000.00
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:
US Regional and Global lead for Trade Floor Supervision, GBM Internal Control ensuring business strategies, plans and initiatives are delivered in compliance with governing regulations, internal policies and procedures.
What You'll Do:

• Leads and drives a customer focused culture throughout the global Trade Floor Supervision teams to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Advises on the execution of the first line communication surveillance program in the US in accordance with the Global Communication Supervision Procedures.
• Oversees the global Trade Floor Supervision workstream which is designed to establish and execute on the creation of globally consistent Trade Floor controls.
• Oversees the FX Code of Conduct Monitoring workstream which is designed to establish and execute on the creation of globally consistent monitoring program for the FX Code of Conduct.
• Provides global oversight of the written supervisory procedure program across both design and execution elements
• Leads analysis and defines book of work around Trade Floor control enhancements and global harmonization; creates, communicates and implements the global standard(s) across all regional supervision teams
• Helps guide the management of investigations of electronic and voice communications and works with the US team on related documentation and escalation.
• Helps guide market conduct related transaction monitoring for GBM sales and trading employees, advises on related investigations and works with the US team on related documentation and escalation.
• Coordinate with other Internal Control teams on responses to Regulatory and other requests for information and liaise with Regulators as required.
• Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Other duties and projects as may be assigned from time to time.

What You'll Bring:

• University Degree/MBA/CFA or a minimum of 15 years of experience, preferably in a capital markets, trading or operational risk management role or related role
• Significant regulatory experience
• In-depth knowledge of capital markets business and communications monitoring
• Expert knowledge of internal controls
• Demonstrate significant maturity, credibility and sound judgment in dealing with senior management across business lines, risk management and support groups
• Strong written and verbal communications and inter-personal skills

Interested?
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.