Senior Manager, Regulatory Control & Operational Oversight

Scotiabank•Dallas, TX

About The Position

The Senior Manager, Regulatory Control & Operations Oversight leads a small team within Global Wholesale Operations, reporting directly to the Director, Regulatory Control & Operational Oversight - US. The role is responsible for the day-to-day delivery, quality, and ongoing improvement of the regulatory reporting and post-trade control processes that support Scotiabank's US broker-dealer in meeting its obligations. The team works across three principal areas: regulatory and financial responsibility reporting, delivered in close partnership with the Finance Regulatory Reporting team; post-settlement supervisory controls and customer protection; and oversight of outsourced asset servicing functions performed by the Bank's affiliates on behalf of the US entity. The Senior Manager is expected to communicate regulatory performance clearly and confidently to senior leadership, and to build a team culture focused on accuracy, efficiency, and continuous improvement — progressively reducing manual processing and ensuring the firm's regulatory obligations are met through well-controlled, reliable workflows.

Requirements

5-8+ years of experience in financial services operations, with exposure to regulatory reporting, post-trade controls, or financial responsibility compliance within a broker-dealer or similar regulated environment.
Prior experience leading or managing a small team; able to set direction, develop individuals, manage competing priorities, and maintain high standards under deadline pressure.
Solid working knowledge of SEC Rules 15c3-3 and 15c3-1, including reserve formula mechanics, possession and control requirements, and the interaction between operational settlement activity and regulatory capital.
Experience contributing to the production of regulatory financial reports, or working closely with a Finance team to provide operationally sourced data inputs to such reports.
Demonstrated ability to present regulatory data and operational metrics to senior management clearly and with confidence; experience preparing and delivering management reporting packs is important.
A track record of identifying and driving process improvements that reduce manual effort, increase accuracy, and make operations more scalable in a regulated environment.
Comfort working with data and reporting tools; familiarity with automation or workflow solutions relevant to operations or regulatory reporting is an advantage.
A clear and confident communicator — in writing and in person — with the ability to explain complex regulatory or operational matters in straightforward language to a range of audiences. Strong organizational and analytical skills; able to manage multiple deadlines and priorities calmly and effectively in a fast-moving environment.
Experience with industry operations platforms and post-trade infrastructure; familiarity with custodian and depository processing is beneficial.
Strong proficiency in Microsoft Excel; able to build and maintain controlled reporting templates, perform data analysis, and present findings clearly.
Familiarity with automation tooling relevant to regulatory reporting or operations workflows — e.g. Alteryx, Power BI, Python scripting, RPA, exception management platforms, or automated reconciliation engines.
Undergraduate degree in Finance, Business, Accounting, or a related field; a professional qualification is an advantage but not essential.
FINRA Series 99 registration required; willingness to obtain within an agreed timeframe.