Senior Manager, GBM&T Compliance Testing, International Banking
About The Position
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! Purpose Support and coordinate Compliance Testing reviews for GBM and Treasury (GBM&T) business operations in International Banking (IB), ensuring adherence to regulations and internal policies. Provide subject matter expertise, oversight, and reporting across the IB countries for GBM products, services, and processes.
Requirements
- Experience in compliance, audit, or regulatory exam support, including testing or audit background.
- Background in broker-dealer inspections, institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management, and corporate functions.
- Familiarity with applicable SEC, FINRA, CFTC, NFA, Federal Reserve and state banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and commercial banking in the U.S.
- BA/BS or international equivalent.
- Bilingual, fluency in Spanish is required.
Responsibilities
- Oversee compliance testing for International Banking businesses, focusing on regulatory and policy requirements applicable to GBM&T activities.
- Identify and escalate potential control gaps and non-compliance issues.
- Ensure timely resolution of recommendations and deficiencies.
- Support issues management and validation testing.
- Educate team members on relevant business areas and regulatory requirements.
- Assist in the development and maintenance of the annual testing plans and progress reports.
- Lead designated compliance testing reviews and provide supervisions and feedback to team members.
- Maintain a customer focused culture to deepen International Banking client relationships and leverage broader relationships, systems and knowledge.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
