Manager, US Internal Control - E-Communication Surveillance Job at Scotiabank in

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 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.

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 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.
• Acting as a liaison between desk heads and compliance and providing support for the compliance functions locally.

What You’ll Do

• Embrace a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Work in a team environment with specified duties related to monitoring and investigating all types of communications generated by GBM and Group Treasury staff.
• Detect possible regulatory, trading policy, or human resources issues embedded in communications.
• Work closely with the Directors and Sr. Managers of US Internal Control and interact with 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 various policies affecting the businesses globally.
• Use judgment in managing highly sensitive information and/or situations.
• Maintain detailed lists and records to demonstrate compliance with Scotiabank policies.
• Understand the Bank’s risk appetite and risk culture in day-to-day activities and decisions.
• Pursue effective and efficient operations while ensuring adherence to business controls regarding operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk.
• Contribute to an inclusive work environment.

What You’ll Bring

• At 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.
• Ability to obtain US licensing with FINRA (Series 7, 63, 24), if required.
• Proficiencies in English and Spanish are helpful.
• University degree in Business, Economics, or related field.
• Prior experience conducting eComms or voice surveillance is highly desirable.
• Thorough analytical skills to ensure completeness of communications.

Work Arrangement

• Dynamic, fast-paced office-based environment; operates in a standard trading floor environment.
• Occasional travel may be required.
• Demands can be unpredictable.
• In-office work hours may be long due to tight timeframes.

Interested?

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

What's in it for you?

Scotiabank wants you to bring your best self to work – and life, every day. With a focus on holistic well-being, our flexible benefit programs are designed to support your unique needs.

Location(s): United States : New York : New York City || United States : Texas : Houston

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.

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