Assistant Manager, Regulatory Trade Reporting Specialist
4 hours ago
We are seeking an experienced Assistant Manager to join our Regulatory Reporting and Control function within Global Wholesale Operations. The successful candidate will be responsible for driving an efficient and effective Regulatory Reporting and Control function, executing daily and periodic monitoring controls, identifying and investigating exceptions, and supporting projects/initiatives to promote operational effectiveness and support GWOs business strategies and objectives.
Key Responsibilities- Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
- Ensure BNS trade reporting activities are in compliance with governing regulations and business requirements in all areas Scotiabank operates (CFTC, SEC, CTR, ESMA, FCA, MAS, HKMA, ASIC).
- Identify reporting breaks (through daily reconciliation activities and/or other controls) and remediate potential reporting issues to mitigate compliance/regulatory risks.
- Partner with internal (e.g. Technology, Internal Controls, and Compliance) and external (e.g. Trade Repositories) stakeholders on compliance remediation matters and ensure effective control processes are implemented and followed.
- Understand reporting requirements and maintain up-to-date knowledge of regulatory reporting/reporting logic across all jurisdictions.
- Analyze the impact of regulatory changes and implement necessary changes to internal reporting and control processes that ensure compliance with the reporting obligations in all regions the bank operates.
- Actively participate and contribute in change management projects/initiatives to ensure that regulatory reporting requirements are working with adequate controls and appropriate metrics are incorporated into the KPI/KRI risk management platform.
- Provide support during management ad hoc requests, internal audit or testing engagements, and assist with preparation for regulatory audits or queries.
- Continuously review current processes and identify opportunities for improvements to promote efficient and effective oversight processes.
- Create and maintain policies and procedure documents for all internal control processes.
- Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursue effective and efficient operations of his/her respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Champion a high-performance environment and contribute to an inclusive work environment.
- Minimum 1-2 years' experience in business, compliance, risk, or front office function.
- Exceptional business analysis skills and demonstrated success participating project lifecycle. This includes scope definition, business case development, requirements gathering, test script development, deployment, and implementation assistance.
- Knowledge of reporting requirements/reporting logic for various regimes (CFTC, SEC, CTR, ESMA, FCA, MAS, HKMA, ASIC) would be an asset.
- Strong ability to understand, analyze, and successfully implement changes to internal processes. Previous success responding to/implementing regulatory change initiatives. This includes taking an active role to analyze the impact of and plan the implementation of reporting changes necessitated as a result of regulatory changes in the industry.
- Demonstrated success working in a demanding and fast-paced environment.
- Strong track record successfully meeting tight deadlines and performing efficiently under pressure.
- Strong problem-solving, strategic thinking, organizational skills, and strong data mining skills.
- Advanced communication skills and the ability to clearly and concisely present to senior stakeholders.
- Exceptional interpersonal skills with demonstrated ability to gain confidence and respect of team members and key stakeholders.
- Strong problem-solving skills and ability to think strategically to execute goals/objectives.
Work in a standard office-based environment or BCP location; non-standard hours are a common occurrence. Global coverage will require conference calls during Asian and European business hours.
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Regulatory Trade Reporting Assistant Manager
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Assistant Manager, Regulatory Trade ReportingScotiabank is seeking an experienced Assistant Manager to join our Regulatory Trade Reporting team. As a key member of our team, you will be responsible for driving an efficient and effective Regulatory Reporting & Control function within Global Wholesale Operations.Key Responsibilities:Execute daily...
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Regulatory Trade Reporting Assistant Manager
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Assistant Manager, Regulatory Trade ReportingScotiabank is seeking an experienced Assistant Manager to join our Regulatory Trade Reporting team. As a key member of our team, you will be responsible for driving an efficient and effective Regulatory Reporting & Control function within Global Wholesale Operations.Key Responsibilities:Execute daily...
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