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Senior Manager, Advisory Compliance, GBM&T
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Join the Global Community of Scotiabankers to help customers become financially better off.
A Best Workplace
Scotiabank is a premier financial institution and Canada’s most international bank recognized as a Best Workplace®, in Canada, Mexico, El Salvador, Costa Rica, Puerto Rico, Dominican Republic, Panama, Peru, Chile and Latin America by the Great Place to Work® Institute.
A multinational winning team
Scotiabank is Canada’s international bank and a leading financial services provider in North America, Latin America, the Caribbean and Central America, and parts of Asia. We are dedicated to helping our 21 million customers become better off through a broad range of advice, products and services, including personal and commercial banking, wealth management, corporate and investment banking.
Corporate Social Responsibility
Scotiabank helps to build bright futures worldwide through ethical banking practices, environmental awareness and a commitment to communities.
Accountabilities
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Be responsible for advisory coverage of fixed income, currencies & commodities and equities businesses, including the sales and trading activity in the SIDAC office, as well as working closely with the UK Advisory Compliance team and partnering with support and control functions on the impact of the relevant regulations in Europe.
Be responsible for advisory coverage of fixed income, currencies & commodities and equities business, including the sales and trading activity in SIDAC as they are impacted by EU regulation.
Be responsible for the creation and maintenance of compliance policies, procedures and processes to reflect regulatory and internal requirements impacting fixed income, currencies & commodities and equities businesses.
Provides advice on relevant regulations and internal policies and procedures to internal stakeholders.
Provides regular training and education to make employees aware of their compliance responsibilities, including conducting formal and informal compliance training, creating training and educational materials (memoranda, presentations, bulletins).
Monitors and identifies regulatory, compliance and industry developments through review of publications, participation in industry associations, dialogue with regulators, and interactions with counsel and auditors.
Evaluates new products, programs, services and business initiatives to ensure compliance issues are identified and addressed and an appropriate Compliance program to support the initiative is implemented.
Coordinates with central compliance groups, including Testing and Surveillance, to provide reasonable assurance that the firm is in compliance with applicable regulatory requirements and internal policies and procedures.
Investigates possible instances of non-compliance.
Assists in responding to regulatory inquiries, audits, examinations and investigations.
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursues 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.
Champions a high performance environment and contributes to an inclusive work environment.
The role has been identified as a Central Bank of Ireland prescribed Controlled Function. The incumbent is therefore required to have the relevant fitness and probity to carry out the role and responsibilities in such a manner that the incumbent can comply with the Central Bank of Ireland 2011 Fitness & Probity Standards, as applicable to the role. In general, the Fitness & Probity Standards require the role holder to:
be competent and capable;
act honestly, ethically and with integrity; and
be financially sound.
Recent Capital Markets banking experience, preferably 5 years +
Experience dealing with securities regulators, particularly the Central Bank of Ireland or equivalent body
Excellent verbal and written communication skills, that demonstrate a strong grasp of regulatory risk
management practices and management skill. Understands how to approach communication from a
strategic perspective. Ability to create clear, convincing and well-organized presentations and
communications.
Scotiabank is committed to providing an inclusive and accessible candidate experience. Only those candidates selected for an interview will be contacted. If you require accommodation during the recruitment and selection process, please let us know. We will work with you to meet your needs.
