FICC Compliance Officer,Senior Manager Job New York New York USA,Finance & Banking

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Title:

FICC Compliance Officer, Senior Manager

Requisition : 276690

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
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!

Job Title: FICC Compliance Officer, Senior Manager
Department: US Markets Compliance
Location: New York

Purpose of Job:
The FICC Compliance Officer is responsible for providing primary compliance coverage to the U.S. FICC businesses and assisting the businesses in meeting applicable regulatory and compliance obligations. The FICC Compliance officer also provides support for the Bank’s Compliance Risk Management Framework and its related programs.

Accountabilities

Champion a customer-focused culture and assist the US sales and trading businesses in their effort to deepen client relationships by leveraging broader Bank relationships, systems, and knowledge.

Provide day-to-day compliance support for FICC cash trading and sales businesses by advising on the application of laws, rules, and regulations, as well as internal policies and procedures, to the businesses.

Communicate with FICC management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings.

Provide support to and monitor Treasury auctions to ensure bidding practices are in line with regulatory expectations and BNS NYA procedures. Assist in addressing issues relating to Treasury auctions.

Create and provide online and in-person compliance training for FICC professionals and support personnel. Coordinate with other Compliance officers to ensure training is consistent across businesses. In coordination with the Training Group, evaluate personnel in scope for training.

Develop, draft, amend and maintain FICC-related compliance policies, procedures and manuals outlining firm requirements, regulations, and best practices. Provide comments to relevant business and compliance policies and procedures as part of the internal review and governance process. In coordination with Internal Control, conduct reviews of written supervisory procedures assigned to FICC supervisors to ensure they adequately reflect current practices and regulatory requirements.

Evaluate US and global new business proposals as required under New Initiatives (“NIA”) policies. Provide a written…