Director, Sales and Trading Regulatory and Supervisory Product Manager

Requisition

Own and drive regulatory and supervisory product development for Sales and Trading products across Capital Markets. Design business activities to be compliant with existing and emerging regulations, build and enhance processes that support sustainable revenue generation, and act as the first‑line accountable owner for regulatory activities required by US regulators.

Champion a customer‑focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

Evolve and enhance the operating model for managing Sales and Trading obligations and related technical requirements.

Provide subject‑matter expertise in drafting and implementing the firm’s Global Algo Policy, and propose business framework improvements to reduce inefficiencies.

Act as the subject‑matter expert on regulatory change, analyzing communications and policies, and assessing impact on processes and workflows.

Serve as a central liaison for regulators, internal audit, compliance advisory, risk management, technology, and COO teams, ensuring accurate understanding of regulatory developments.

Oversee vendor relationships, including onboarding, performance monitoring, and contract review to guarantee regulatory compliance and business alignment.

Own development of project plans and execution of remediation actions, and provide SME input into desk policies, procedures and WSPs.

Apply the Bank’s risk appetite and culture to everyday decisions, and ensure effective business controls to meet regulatory obligations across operational, compliance, AML/ATF/sanctions and conduct risk areas.

• FINRA Series 7, 24, 63
• 15 years of experience in Equities, specializing in Electronic Trading
• 15 years of experience in Compliance Advisory

Scotiabank offers flexible benefits to support your family, financial, physical, mental, and social well‑being.

Location(s):
United States :
Texas :
Dallas

We welcome applicants who require accommodation during the recruitment process. If you need assistance, please contact our Recruitment team.