Senior Manager, Regulatory Control & Operational Oversight

Purpose

The Senior Manager, Regulatory Control & Operations Oversight leads a small team within Global Wholesale Operations, reporting to the Director of Regulatory Control & Operational Oversight – US. The role focuses on improving the efficiency and accuracy of regulatory reporting, post‑trade controls, and oversight of outsourced asset‑servicing functions for Scotiabank’s US broker‑dealer.

• Lead, coach and develop a small team responsible for regulatory reporting, post‑settlement controls, and asset‑servicing oversight.
• Set clear objectives, manage workload, and maintain cross‑training; support succession planning and stretch opportunities.
• Serve as the primary operations interface to the Finance Regulatory Reporting team, ensuring timely, accurate filings and swift resolution of any data discrepancies.
• Oversee daily controls that protect customer assets under SEC 15c3‑3 and 15c3‑1, investigate exceptions, and report on shortfalls and remedial actions.
• Prioritize process excellence, collaborate with Technology and Data teams to automate reporting workflows, and replace manual processes with system‑generated outputs.
• Maintain oversight of corporate actions and income processing performed by affiliate operations, ensuring service standards and timely exception handling.
• Maintain a documented, audit‑ready control environment, lead examinations, and manage audit findings to closure.
• Prepare and present regular operational performance packages, dashboards, and metrics to senior leadership; track and close risk items.
• Build productive relationships with Finance, Technology, Compliance, Risk Management, Internal Audit, and other GWO operations teams; provide operational perspective on new initiatives.

• 5–8+ years of financial services operations experience with regulatory reporting or post‑trade controls in a broker‑dealer or equivalent regulated environment.
• Prior experience leading or managing a small team; proficiency in coaching, prioritization, and deadline management.
• Solid working knowledge of SEC Rules 15c3‑3 and 15c3‑1, reserve formula mechanics, and interactions between settlement activity and regulatory capital.
• Experience contributing to the production of regulatory financial reports and providing operational data to Finance.
• Demonstrated ability to present regulatory data and metrics to senior management; strong communication and analytical skills.
• Track record of driving process improvements that reduce manual effort, increase accuracy, and scale operations.
• Comfort with data and reporting tools; familiarity with automation or workflow solutions (e.g., Alteryx, Power BI, Python scripting, RPA).
• Strong proficiency in Microsoft Excel for building and maintaining controlled reporting templates.
• Undergraduate degree in Finance, Business, Accounting, or related field; professional qualification is an advantage.
• FINRA Series 99 registration required.

Scotiabank offers a flexible benefits program designed to support you and your family’s financial, physical, mental, and social well‑being. The role is based in Dallas, Texas, United States.

Scotiabank is an equal opportunity employer and values diversity and inclusion. All qualified applicants are encouraged to apply.