Manager, Policies, Reporting and Governance

Scotiabank•Dallas, TX

12d

About The Position

The objective of this position is to support the U.S. operations of The Bank of Nova Scotia, Scotia Capital (USA) Inc. and their affiliates (collectively the “Bank”) in maintaining appropriate internal controls (i.e., policies, procedures, processes) designed to address applicable U.S. legal and regulatory requirements/obligations. The Manager, Policies, Reporting and Governance (the “Manager”) will support the U.S. Compliance Department’s processes for managing the development and maintenance of Compliance policies, procedures, reporting routines, issue tracking, and governance materials, including supporting the drafting, coordination, and review of Compliance-related Policy Documents. The Manager will assist in coordinating the U.S. Compliance Department’s review and approval of Global Compliance Department policies and procedures. In addition, the Manager, will support the Compliance Issue Management and Reporting team with compliance reporting, regulatory updates, issues management activities, and the execution of remediation and sustainability activities related to the Compliance Risk Framework. The role will require coordination with various business units, control functions and other teams within the Compliance function to support timely, accurate and consistent reporting, escalation, and issue management practices.

Requirements

A minimum of (3 - 5+) three to five years of compliance experience, preferably with a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses.
Experience supporting the development, maintenance or review of regulatory risk-related policies, procedures and related internal controls within the financial services industry.
Experience supporting compliance reporting, governance reporting, issue tracking, remediation monitoring or related risk management processes within a financial services environment.
Strong written drafting, editing and verbal communication skills.
Good understanding of applicable Federal and State laws relevant to non-U.S. banks operating in the U.S., SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors.
Strong analytical and investigative skills, with the ability to analyze issues, support recommendations and execute assigned deliverables.
Ability to work independently on assigned matters and interact professionally with stakeholders, including senior management as needed.
Sound judgment in identifying risks and escalating appropriately through established channels.
Excellent teamwork, interpersonal and conflict resolution skills.
Highly organized and capable of managing multiple priorities and projects simultaneously.
Proficiency with standard computer applications including Word, Excel, and PowerPoint.
BA or international equivalent required.

Nice To Haves

Proficiency with reporting tools, data management processes or issue tracking systems preferred.
Experience or strong aptitude with data analytics, automation, and transformation initiatives, including the ability to identify process efficiencies, improve reporting routines and support technology-enabled enhancements is a plus.
JD/Masters preferred but not required.

Responsibilities

Support Compliance stakeholders in drafting, reviewing and maintaining compliance-related policies, procedures and related internal controls.
Assist with the enhancement, maintenance and administration of processes for developing, maintaining and reviewing/approving Compliance Policy Documents, including written compliance procedures.
Support coordination with Global Compliance to maintain the Compliance Policy Document repository and assist with tracking U.S. written compliance procedures.
Assist in maintaining standards for regulatory risk-related policies, procedures and related internal controls, and support adherence to those standards by relevant front, middle and support office functions.
Support U.S. Compliance Risk Committee governance processes, including coordination of meeting materials, agenda items, follow-ups and related documentation.
Support the development and maintenance of governance reporting materials, including dashboards, committee updates, management reports and related supporting documentation.
Track the development and periodic review of compliance risk-related policies and procedures.
Maintain awareness of the regulatory environment and assist with monitoring new and emerging legislation, policy statements, relevant trends and industry best practices, including supporting assessments of potential impacts to the Bank’s policies, procedures and related controls.
Assist in preparing regulatory updates for various stakeholders.
Support the preparation, coordination and quality review of recurring and ad hoc compliance reporting for management, governance committees and other stakeholders.
Assist with the collection, validation and consolidation of compliance reporting inputs, including key metrics, status updates, trends, action items and supporting commentary.
Support ongoing remediation efforts and sustainability activities related to the Compliance Risk Framework.
Support issues management activities, including tracking identified issues, remediation plans, milestones, evidence, status updates and closure documentation in accordance with applicable processes.
Coordinate with issue owners, Compliance stakeholders and control partners to support timely escalation, follow-up and reporting of issue status and remediation progress.
Support coordination of the new initiative risk assessment process for U.S. Compliance.
Coordinate distribution of U.S. Compliance bulletin communications.
Maintain the document management system (ClauseMatch) for U.S. Compliance.
Perform other duties and support projects as assigned from time to time.