Senior Manager, CIB & Research Compliance Officer

Requisition : 218082

Salary Range: 99,790.00 –

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 (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.

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.

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!

The Compliance Officer will operate as a member of the CIB & Research Compliance Advisory team which provides compliance advisory coverage for the Corporate & Investment Banking (CIB), Equity Capital Markets (ECM), Debt Capital Markets (DCM), Global Loan Syndication (GLS), Global Securitization (GS), Mortgage Capital Markets, Structured Credit and Equity Research businesses.

The Compliance Officer will serve as (1) primary compliance advisory coverage for Scotiabank’s Houston based Corporate & Investment Banking (CIB), Mortgage Capital Markets (MCM) and Equity Research businesses; (2) on-site point of contact for additional businesses/functions located in the Houston office (ie Global Transaction Banking, etc.), while liaising with teams managed from NYC; and (3) additional compliance coverage for NY based businesses supported by the broader US CIB & Research Compliance Advisory team.

The CIB & Research Compliance Advisory team is responsible for providing day-to-day compliance oversight, advice, training and monitoring for business areas under coverage. The Compliance Advisory team also supports Central Compliance activities such as, but not limited to the development of Compliance Policies & Procedures, performing regulatory horizon scanning and impact assessments, and completion of periodic Compliance Risk Assessments.

The CIB & Research Compliance Advisory team is part of the Global Compliance function at Scotiabank and this position is expected to work closely with global colleagues to ensure deployment of a cohesive, comprehensive strategy, as well as consistency of advice where appropriate.

• Provision of timely Compliance advice to business under coverage. Topics include but may not be limited to applicable regulatory requirements, information barriers, business & personal conflicts of interest, cross border, registrations, gifts & entertainment, research, sales/marketing and supervision.
• Creation, maintenance, and delivery of live new hire, annual & ad-hoc training.
• Drafting or review of new and existing policies, procedures and guidelines designed to ensure compliance with regulatory requirements and industry best practices.
• Development and execution of Written Compliance Procedures (WCPs) that are designed to monitor for compliance with relevant regulatory requirements, policies and procedures.
• Monitor and assess impact of new or modified regulatory and industry developments. Maintenance of the Regulatory Obligations Library.
• Review and assess the impact of new business initiatives.
• Conduct quarterly/annual Compliance Risk Assessments and verify that appropriate action plans are in place as appropriate.
• Provide…