Manager, SCI Regulatory Reporting, GBM Finance

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Title: Manager, SCI Regulatory Reporting, GBM Finance

Requisition ID: 272173

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Contributes to the overall success of Scotia Capital Inc. ("SCI") Regulatory Reporting, GBM Finance in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.

Is this role right for you? In this role you will:

• Be responsible for the preparation, analysis and/or review of daily/monthly/annual regulatory reports that support the completion of regulatory deliverables such as Monthly Financial Report ("MFR"), Form 1, Notes to Financial Statements and the Statement of Member Assets by Location filings to Canadian Investment Regulatory Organization ("CIRO")/Canadian Investor Protection Fund ("CIPF").
• Lead the consolidation efforts and subsequent analysis of the regulatory/financial information solicited from numerous SCI supporting units, inclusive of investigation and resolution of any identified data discrepancies.
• Act as a central conduit for all internal and external audit inquiries; additionally, responsible for the coordination and oversight of critical deliverables and walk throughs to the external auditors.
• Conduct orderly execution of the annual CIRO Financial and Operations Compliance field examination and applicable testing of the internal controls and procedures that support CIRO requirements of the Annual Attestation of Internal Controls.
• Supervise Control Account attestation databases for Broadridge (Subledger) and PeopleSoft (general ledger), which are book of records platforms for SCI; accountable for the timely reporting and escalation of exceptions and unreconciled amounts to Senior Management and for driving the resolution of these with the appropriate stakeholders.
• Interpret and implement new reporting requirements and manage the implementation of system and procedural changes to ensure compliance with new regulatory requirements.
• Collaborate with internal stakeholders on ad-hoc projects in support of departmental objectives, GBM Finance initiatives or regulatory requirements.
• Provide coverage during absences to ensure key deliverables are covered and work collaboratively and coach/mentor team-members to ensure knowledge sharing, best practices and process improvements.
• 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 their 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.
• Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• An in depth understanding of various types of securities (fixed income, equity, money market, listed and OTC derivatives, etc).
• Strong knowledge of accounting procedures, internal controls and the regulatory reporting requirements of the Bank, CIRO/CIPF.
• Expert knowledge of Broadridge (BPS) and working knowledge of PeopleSoft is required.
• Solid foundational knowledge of inner workings of GWO and Wealth Operations and the unique interdependencies between the various groups.
• Demonstrated ability to leverage non-authoritative leadership (NAL) skills and proven ability to present complex, technical information to a variety of audiences
• Accurate and thorough skills, and able to perform independently with minimal direction, manage tight deadlines and prioritize tasks/deliverables.

Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have:

• University degree in accounting, finance or in a related field and minimum 5 years’ experience, preferably in the operational aspects of the banking/ brokerage industry.
• Excellent knowledge of internal controls and the regulatory reporting requirements of CIRO. Completion of Canadian Securities Course is an asset. Required to in