Job summary We are committed to investing in our employees and helping you continue your career at ScotiaGBS. Contributes to the overall success of the Compliance Department in the U.S. and in some respects, globally supporting specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives. Ensures all activities conducted follow governing regulations, internal policies and procedures. Responsibilities - Leadership: Leads a team of Senior Analysts in the execution of reviews of E-comms and V-comms on a variety of topics to identify unusual activity or potential violations of rules or firm policies, ensuring they are conducted expertly, professionally, and effectively. - Customer Focus Culture: Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. - Business Knowledge: Maintain a working knowledge of relevant SRO, Federal, and State regulations applicable to Banks, Broker Dealers, and Swap Dealers and stay informed on applicable trading strategies and firm policies. - Documentation & Audit Readiness: Collaborates with the Compliance Advisory team on regulatory examinations and inquiries including FINRA, SEC, NYDFS, NY Federal Reserve, US Treasury and other regulatory requests. The Manager supports the Compliance team in responding to regulatory inquiries by compiling relevant data and documentation and participate in internal audits and regulatory exams as needed. - Supervision: Oversees the execution of surveillance reviews and investigations in a manner that ensures that the review/monitoring procedures are conducted with the highest quality and that appropriate follow-up actions are taken, including but not limited to: - By: - Coordinating the review, assessment, disposition and documentation of alert reviews in accordance with standard timelines. - Warranting the confidentiality of the information is always maintained and confirming that recording review results are concise and accurate. - Ensuring timely escalation and documentation of potential issues identified. - Preparing reports on review findings and communicating these to appropriate partners. - Identifying problems (outliers) and anomalies; making informed observations. - Providing metrics on team reviews to Head of U.S CM&S; and committees as required. Qualifications - Experience in managing a team. - A minimum of 5 years of experience within a compliance monitoring or surveillance role within the financial services industry required. - Working knowledge of exchange and over-the-counter sales and trading of equities, fixed income, FX or derivatives is required. - Strong problem solving, critical thinking, and negotiating skills. - Strong written and verbal skills (must be able to prepare documentation and interact effectively with other Bank departments). - Excellent teamwork, interpersonal and conflict resolution skills. - Highly organized and capable of dealing with multiple, complex projects simultaneously. - Sound judgment in identifying risks to proactively escalate with relevant senior management. - Good accountability and time-management skills. - Strong proficiency of Excel. - Ability to navigate relationships in a highly matrixed organization. - Bachelor's degree in business management, finance or accounting. - Bilingual (Spanish / English). Portuguese or French is a plus. - Knowledge of applicable Self-Regulatory Organizations ( Descripción del trabajo Lorem ipsum dolor sit amet , consectetur adipiscing elit. Nullam tempor vestibulum ex, eget consequat quam pellentesque vel. Etiam congue sed elit nec elementum. Morbi diam metus, rutrum id eleifend ac, porta in lectus. Sed scelerisque a augue et ornare. Donec lacinia nisi nec odio ultricies imperdiet. Morbi a dolor dignissim, tristique enim et, semper lacus. Morbi laoreet sollicitudin justo eget eleifend. Donec felis augue, accumsan in dapibus a, mattis sed ligula. Vestibulum at aliquet erat. Curabitur rhoncus urna vitae quam suscipit , at pulvinar turpis lacinia. Mauris magna sem, dignissim finibus fermentum ac, placerat at ex. Pellentesque aliquet, lorem pulvinar mollis ornare, orci turpis fermentum urna, non ullamcorper ligula enim a ante. Duis dolor est, consectetur ut sapien lacinia, tempor condimentum purus. Obtén acceso completo Accede a todos los puestos de alto nivel y consigue el trabajo de tus sueños. Inscríbete ahora