Assistant Manager, GWO Securities Settlements - Regulatory Control

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Requisition : 267118

Salary Range: -

Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, skills, and experience.

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

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!

Contributes to the overall success of the Securities Settlements team in NY by supporting the Manager in the execution and delivery of individual goals, plans and initiatives in alignment with the team’s business strategies and objectives. Ensures assigned activities are completed accurately, timely and in compliance with governing regulations, internal policies and procedures.

Typical Day in Role:

• Supports a customer-focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Performs and supports quantitative daily, monthly, quarterly and annual controls, including Cash, Position, Trial Balance Attestation and Stock Record reconciliations of SCUSA’s books and records, escalating issues to the Manager as appropriate.
• Performs and supports qualitative controls related to New Account Designation, Confirms and Statements, ensuring exceptions are investigated, documented and escalated as required.
• Supports regulatory functions including FINRA extensions and collateral information submissions to the relevant regulator under Manager oversight.
• Maintains effective working relationships with the desks, operations teams and other support groups, escalating complex or sensitive matters to the Manager.
• Supports new business initiatives and operational projects by providing subject matter input and assisting with enhancements, modifications or changes to systems and processes within the department.
• Assists with internal and external audits by preparing requested evidence, supporting walkthroughs and coordinating responses with the Manager.
• Applies the Bank’s risk appetite and risk culture in day-to-day activities and decisions.
• Pursues effective and efficient operations in accordance with Scotiabank’s Values, Code of Conduct and Global Sales Principles, while ensuring adequate and effective business controls to meet operational, compliance, AML/ATF/sanctions and conduct risk obligations.
• Contributes to a high-performance, inclusive work environment by sharing best practices, supporting team members, seeking coaching and feedback, and demonstrating resilience when addressing challenges or setbacks.
• Takes initiative to develop technical knowledge, problem-solving skills and control expertise to support day-to-day execution and issue resolution within the team.

• Series 99
• 3+ years of Possession and Control, securities settlements or related regulatory control experience.
• Working systems knowledge should include, but is not mandatory, Broadridge BPS…