Manager, Regulatory Reporting

Requisition

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

Contribute to the overall success of SCI (Scotia Capital Inc.) 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.

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Coordinate the consolidation efforts and subsequent analysis of the regulatory/financial information received from numerous SCI supporting units across the Bank, including investigation and resolution of any identified data discrepancies to ensure compliance with CIRO mandated filing deliverables such as Monthly Financial Reports (MFR) and annual audited Form 1.
• Be responsible for the preparation of various MFR Statements and Schedules as well as MFR package for Management meeting and review
• Assist in various continuous disclosure requirements to internal stakeholders as well as external stakeholders such as the Option Clearing Corporation (OCC), Canadian Mortgage Housing Corporation (CMHC), Ontario Securities Commission (OSC) and Autorité des Marchés Financiers (AMF)
• Be tasked with supporting the orderly execution of the annual CIRO Financial & Operations (FINOPS) examination of MFR deliverables and the planning and execution of SCI fiscal year-end audit along with the annual filing.
• Research and assist in the interpretation, and subsequent application of new CIPF and/or CIRO Rules or Guidance Notices and assess impacts on processes and procedures. Additionally, tasked with coordination and execution of various ad hoc business and regulatory assignments such as Industry Statistics Reporting and Canada Revenue Agency audit.
• Provide support to Chief Financial Officer in corporate governance initiatives and/or SCI Board matters such as company acquisitions or amalgamation and annual dividend declaration in collaboration with the Corporate Secretary and/or external auditors.
• Support in Regulatory Compliance Management (RCM) Program and Compliance Risk & Control Assessment (CRCA) Assessment Program for our Corporate Function Unit (SCI Finance) in relation to appropriate systems, operational controls and adherence to ongoing regulatory policies.
• Actively pursue to streamline operations of the area, while ensuring appropriate adherence to and effectiveness of the day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
• Champion a high-performance environment and contributes to an inclusive work environment. Assist and support on project and initiatives as assigned as well as provide coverage to peers during absences.

• University degree in accounting, finance or in a related field and minimum 5 years’ experience, preferably in the investment / 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 interpret and apply CIRO rules and guidelines.
• Excellent communication and interpersonal skills to act as a liaison with external and internal stakeholders.
• Strong analytical / problem solving skills are necessary to present complex, technical information to a variety of audiences.
• Proficient in Microsoft 365 and Office suites such as Excel, Word, PowerPoint, One Note and working knowledge of People Soft General Ledger and Broadridge platforms.

• An inclusive & collaborative working environment that encourages creativity,…