Manager, Broker Dealer Regulatory Reporting - Scotiabank Hockey Club : Job Details

Title: Manager, Broker Dealer Regulatory Reporting Requisition ID: 142737

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

* Responsible for the preparation and accurate regulatory reports in accordance with Broker Dealer regulatory expectations.

* FOCUS

* 15c3-1 Capital

* 15c3-3 Reserve

* Supplemental FINRA reporting

* TIC/ FRY-15

* Collaborate with Front office, COO, Compliance, Risk, and Legal to understand the needs and direction of the business and ensure the Broker Dealer maintains compliance with the necessary regulatory reporting requirements while executing the business growth plans

* Prepare monthly analytics, quarterly Board packages, and other various management packages

* Ensure SCUSAs financial & regulatory filings are in compliance with GAAP and SEC rules

* Liaise with internal and external auditors and regulators, stay abreast and keep management informed of regulatory issues, proposals, and best practices

* Implement and document control processes to ensure compliance with 17A-5

* Cross train & share industry knowledge with the team

* Responsible for assisting in implementing key technology enhancements and solutions

* Provide guidance and assistance when necessary to the Scotia Capital (USA) Inc. Finance team in preparing accurate Financial statements and during the monthly close.

* Direct training in various industry related topics both virtually and in person

* Enhance existing reporting process and work papers to build best practices

* Understand how the Banks risk appetite and risk culture should be considered in day-to-day activities and decisions.

* Works with the Head of Regulatory Reporting to builds a high-performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviors; communicating vison/values/business strategy; and, managing succession and development planning for the team.

* FINRA registration and broker-dealer certifications preferred (willingness to obtain appropriate licensing if hired)

* Accounting or Finance Degree

* 10 + years of relevant experience in regulatory reporting

* Skilled at managing regulator requests

* Understanding of banking business, capital markets financial products, and transactional mechanics

* Skilled at implementing reporting with a system of controls

* Experience in transitioning to new reporting platforms and systems

Location(s): United States : New York : New York City

Scotiabank is a leading bank in the Americas. Guided by our purpose: for every future , we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please . Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.