Senior Manager, Compliance Risk Analytics and Reporting

Scotiabank•Dallas, TX

17h

About The Position

Contributes to the overall success of the U.S. Compliance in the U.S. ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Requirements

BA or international equivalent required
A minimum of 5 years of compliance experience preferably with a major international banking organization with institutional trading & sales, investment banking, or institutional broker dealer.
A minimum of 5 years of experience of identifying, assessing, measuring, and reporting compliance risks within the financial services industry.
Relevant compliance experience, including development of relevant policies and procedures development, responding to regulatory inquiries, etc.
Sound judgment in identifying risks in order to proactively escalate to relevant senior management.
Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
Strong leadership skills and demonstrable experience and success in working in high-performance teams.
Ability to coordinate across multiple management levels, jurisdictions, business lines and support functions to drive results.
Ability to operate with minimal direction, deliver product of the appropriate quality, set goals and manage priorities.
Ability to coordinate potentially competing deliverables and timelines.
Experience operating and coordinating programs across large matrixed organizations.
Strong organizational, communication (oral and written), and interpersonal skills required.
Minimum Bachelor's degree.

Nice To Haves

Post graduate degree (JD or MBA) preferred.

Responsibilities

Support the reporting metrics for the Compliance pillars, including risk assessment, monitoring, and testing, issues management, regulatory change management, regulatory coordination, policies and procedures, and structures and resources.
Identify key compliance indicators and risk appetite metrics used to measure the Bank’s compliance risk and effectiveness of internal controls.
Prepare and present comprehensive reports to Board and senior management committees on key compliance metrics and controls and other matters warranting attention.
Engage and present metrics to regulatory stakeholders as needed.
Assist in the development of an Annual Compliance Plan based on compliance issues, metrics and reporting results.
Coordinate with Global Compliance in the development compliance issues management, metrics and reporting.
Develop and maintain an effective management reporting structure and program, including procedures, methodologies, and rationales, to ensure compliance with relevant management reporting regulation.
Provide regular reports on the compliance program to Senior management and escalate any material matters to senior compliance officers and senior management as appropriate.
Maintain an awareness of regulatory environment for new and emerging legislation, policy statements, relevant trends and industry best practices and determine how they impact management reporting.
Develop and maintain strong business, technology and compliance relationships becoming a trusted partner with strong relationship management skills.
Assist in responding to regulatory inquiries and exams in partnership with the functional teams.
Foster an environment of regulatory awareness and ensure strong attention to detail in deliverables.
Other duties and projects as may be assigned from time to time.