Requisition ID: 100017Join the Global Community of Scotiabankers to help customers become better off.
Title: Senior Manager, Compliance Control Room Regional Head
Purpose:
This role provides the successful candidate for both hands-on exposure and responsibility for the delivery of core Control Room functions at the Bank with the opportunity to manage regional Control Room personnel to ensure consistent, timely and effective delivery of a global Control Room program. The selected candidate will amongst other things be required to actively participate in conflict clearance processes, maintenance of global watch and restricted lists, barrier crossing procedure, review of research reports, and chaperoning as part of a global team of Control Room professionals. The successful candidate will have opportunity to work closely with compliance advisory teams as well as other global Control Room personnel particularly regarding controls relating to material non-public information and managing certain conflicts of interests that may present within the Bank`s corporate & investment banking and research businesses.
Is this role right for you?
Talent development and performance management of direct report(s) as well as facilitating knowledge sharing with other Global Control Room personnel to facilitate knowledge sharing and personal development across the team
Responsibility for conflict clearance processes including the management and resolution where potential conflicts are identified
Responsibility for all aspects of global lists management (watch and restricted lists) supporting global Control Room colleagues within a rotating coverage model (this includes the additional, remove and updating of lists in a timely manner)
Work collaboratively with the Research Supervisory Analyst team to review and provide advice on potential conflicts created through research activities
Conduct chaperoning of 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
Provide advice to front office personnel regarding Restricted List
Assist in regulatory requests as they relate to the Control Room
Support monitoring and surveillance programs as relates to the global lists
Provide support to the securities aggregation component of the Control Room
Assist in the development of KRIs and KPIs as relates to the Control Room
Provide support to the corporate & investment banking advisory Compliance team as relates to bank policies and procedures, regulatory requirements and industry best practice
Work with Advisory Compliance teams to provide Control Room related compliance training to various business areas
Assist in the development of internal policies and procedures to enhance the effectiveness of the Control Room program delivery and reflect changes in regulatory requirements
If needed, contribute to the delivery and successful implementation of new technology by facilitating and performing end user testing, data validation and normalization, and create end user procedures
Work collaboratively with local and global Compliance teams including working closely with and sharing information with global Control Room colleagues
Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if:
A minimum of 6-8 years of relevant compliance, control room and/or corporate & investment banking compliance experience
Good understanding of applicable international securities rules and regulations relating to research, investment banking and securities underwriting
Outstanding written and spoken communication abilities with ability to influence effectively
Excellent teamwork, interpersonal and conflict resolution skills
Highly organized and capable of dealing with complex projects and 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
Location(s): United States : New York : New York City
As Canada’s International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. Our employees are committed to a superior customer experience and use the Banks six guiding sales practice principles to ensure they act with honesty and integrity.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.