Senior Regulatory Compliance Specialist

1 day ago

Old Toronto, Canada Scotiabank Full time
About Scotiabank

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.

Job Summary

We are currently seeking an experienced Senior Regulatory Compliance Specialist to join our team. As a key member of our Global Banking and Markets division, you will be responsible for driving regulatory compliance initiatives and ensuring that our business practices meet the highest standards of integrity and risk management.

Key Responsibilities
  • Lead and drive compliance-focused culture from within Internal Controls and executions teams they support to ensure appropriate compliance with OTC derivative regulations globally.
  • Participate in change and project management initiatives, providing leadership, coordination and management of various OTC Derivative regulatory initiatives, including reviews by various Bank regulators.
  • Review and address immediate operational challenges, including working with key stakeholders in first and second line to enhance end-to-end processes, provide transparency and track program progress. Proactively address gaps in data sets produced.
  • Assist risk owners in identifying, assessing, managing, monitoring, reporting, and responding to risks related to regulatory data reporting and processes.
  • Oversee issue investigation and remediation activities as well as lead control enhancements related to policy breaches, operational process breakdowns, data gaps and regulatory non-compliance.
  • Develop regulatory control processes for managing and determining regulatory data-related risks.
  • Manage regulatory issue management escalation framework.
  • Build, develop, enhance and support key controls focused on regulatory data.
  • Support OTC derivative regulatory requests and reporting.
  • Drive regulatory change that impacts current practices.
Requirements
  • At least 7 years of industry experience in the capital markets dealing with data remediation, data management and reporting issues. Knowledge of multiple capital market product areas and jurisdictions, supporting the operations of a financial institution is desirable.
  • A background in the OTC derivatives regulatory regimes, or related regulatory controls-based experience is desired.
  • Expert knowledge of global derivatives regulations and sound understanding of the capital markets business product and processes are essential for success, as is a client-centric approach to the role. The international scope of the business, together with the multiplicity of stakeholders, will require work outside of traditional business hours from time to time.
  • Excellent communication, organizational and project management skills are critical to the role. Interaction with internal and external contacts includes GBM senior management, trading and marketing desks, corporate bankers, legal counsel, clients and industry players.
  • Must be able to operate effectively within an exceptionally time-sensitive environment with changing priorities and tight timeframes which are closely scrutinized by Senior/Executive Management.
  • Proficiency with all Microsoft Office suite of products, including Excel and PowerPoint, some experience using Visual Basic or other programming languages to automate manual/tactical tasks.
What We Offer

We offer a competitive salary of $120,000 - $180,000 per year, depending on experience, plus benefits and opportunities for career growth and development. This position is currently an on-site role, with the expectation that you will work at least 4 days a week in the office. Location: Canada : Ontario : Toronto.

About the Team

You will be part of a dynamic team that is passionate about delivering exceptional results and making a meaningful impact in the community. We foster a culture of inclusion, diversity, and respect, where everyone has the opportunity to grow and succeed.

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