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Form of workRequisition ID: 189017
Salary Range: 82,400.00 - 153,000.00
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.
Manager, Compliance Control Room (189017)
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!
Overview
The Manager, Compliance Control Room is a critical element of the Global Control Room and U.S. Compliance teams providing coverage to the Corporate & Investment Banking, securities underwriting and research business areas in the U.S. The successful candidate will provide full service in relation to the core elements of our Global Control Room team while having opportunity to further develop their skills as a member of the U.S. Compliance team. The role will encompass key elements of a Global Control Room function including conflicts identification and resolution, global list management and chaperoning communications between Banking and Research teams. This is a hands-on role with opportunity to have significant exposure to the front-line businesses at Scotiabank U.S.
What You'll Do
What You'll Bring
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.
Salary Range: 82,400.00 - 153,000.00
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.
Manager, Compliance Control Room (189017)
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!
Overview
The Manager, Compliance Control Room is a critical element of the Global Control Room and U.S. Compliance teams providing coverage to the Corporate & Investment Banking, securities underwriting and research business areas in the U.S. The successful candidate will provide full service in relation to the core elements of our Global Control Room team while having opportunity to further develop their skills as a member of the U.S. Compliance team. The role will encompass key elements of a Global Control Room function including conflicts identification and resolution, global list management and chaperoning communications between Banking and Research teams. This is a hands-on role with opportunity to have significant exposure to the front-line businesses at Scotiabank U.S.
What You'll Do
- Conduct initial transactional conflict clearance reviews to identify potential conflicts of interest.
- Escalation of significant potential issues for review and remediation.
- Responsibility for global lists management (watch and restricted lists) as relates principally to U.S. activities but supporting global Control Room
- Work collaboratively with the Research Supervisory Analyst team to review and provide advice on potential conflicts created through research activities
- Conduct chaperoning of day-to-day email, voice and in-person communications between Banking and Research personnel
- Maintenance of certain research conflict disclosures
- Coordinating barrier crossing requests and maintenance of barrier status lists for the U.S. business
- Provide advice to front office personnel regarding Restricted List
- Support monitoring and surveillance programs as relates to the global lists
- Assist in the development of KRIs and KPIs as relates to the Control Room
- Work with Advisory Compliance teams to provide Control Room related compliance training to various business areas in the U.S.
- Work collaboratively with U.S. and global Compliance teams including working closely with and sharing information with global Control Room colleagues
What You'll Bring
- A minimum of 3-5 years of Control Room, compliance or corporate and investment banking experience
- Good understanding of applicable SEC, NYSE, FINRA rules relating to research, investment banking helpful particularly but not limited to FINRA Rule 2241 and the Global Research Settlement as well as key regulations such as SEC Rule 10b-5
- Strong written and spoken communication abilities
- Teamwork, interpersonal and conflict resolution skills
- Organized, eager to learn and capable of juggling multiple priorities
- BA or international equivalent. JD desired but not required
- Securities licenses, e.g., Series 7 preferred, but not required
- Strong computer skills i.e. Microsoft package
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.
