Scotiabank

Manager, Regulatory Obligations & Controls

Scotiabank • $100K — $130K *
Dallas, TX 75217In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's Degree in Finance, Business Administration, or a quantitative field
  • MBA or other relevant advanced degree
  • Minimum 5 years experience in banking compliance or regulatory obligations
  • Experience managing analysts or project resources
  • Advanced proficiency in Microsoft Office and Power BI
  • Track record in data analytics and database management
  • Demonstrated project management experience

Responsibilities

  • Support the U.S. Regulatory Library and Controls Inventory
  • Coordinate with the Global Compliance project team
  • Provide day-to-day oversight for team processes
  • Implement a global framework for tracking legal and regulatory requirements
  • Partner with Regulatory Controls Management for continuous enhancement
  • Analyze U.S. Regulatory Library issues and reporting
  • Guide the development of compliance policies and internal controls

Benefits

  • Flexible benefit programs focusing on holistic well-being
  • Support for unique family, financial, physical, mental, and social health needs
Full Job Description
Purpose
  • Contributes to the overall success of US Compliance by supporting and enabling the Regulatory Obligations & Controls team in the execution, governance, and continuous enhancement of regulatory obligations and controls processes. Provides day-to-day direction, coaching, and coordination to help the team deliver against business strategies and objectives while ensuring activities are conducted in compliance with governing regulations, internal policies and procedures, and applicable supervisory expectations.
  • The Manager, Regulatory Obligations & Controls, US Compliance supports the U.S. operations of The Bank of Nova Scotia, Scotia Capital (USA) Inc., and their affiliates (collectively the "Bank") by helping manage a sustainable framework of internal controls to meet U.S. legal and regulatory requirements. This role provides day-to-day management support to team members responsible for tracking legal and regulatory developments across U.S. financial services regulatory regimes, including Federal and State banking, commodity, securities, and investment management laws, regulations, and interpretations.
  • Key responsibilities include guiding team execution, coordinating priorities, reviewing deliverables, supporting stakeholder engagement, and helping ensure the department's inventory of obligations and controls is maintained with appropriate governance, quality assurance, and documentation standards.
  • The Manager is also expected to support the team in identifying opportunities to improve process efficiency, data quality, reporting, and control effectiveness within the U.S. Regulatory Library Management function.


What You'll Do
  • Supports the U.S. Regulatory Library and Controls Inventory, including oversight of regulatory content solutions, coordination with U.S. business line compliance officers and business support personnel, and periodic updates to regulatory obligations and associated controls.
  • Coordinates with the Global Compliance project team and supports team members in contributing to the continued enhancement of the global database housing regulatory requirements, obligations, and risk-related controls applicable to the Bank's U.S. operations.
  • Provides day-to-day oversight and guidance to support team execution of processes, systems, and standards used to map and update applicable legal and regulatory requirements to relevant policies, procedures, and internal controls in accordance with U.S. regulatory expectations and business/control function requirements.
  • Supports implementation and ongoing management of a global, cross-divisional framework for identifying and tracking legal and regulatory requirements, policies and procedures, and related internal controls.
  • Partners with the Regulatory Controls Management team to drive continuous enhancement of the regulatory change management framework, including identifying legal and regulatory developments, assessing impacts to policies, procedures, and controls, and coordinating change management processes for the Firm's U.S. operations.
  • Supports team analysis, reporting, and issue resolution related to the U.S. Regulatory Library and Controls Inventory, including helping prioritize inquiries, reviewing outputs, resolving escalated questions, and identifying data quality or process gaps.
  • Provides oversight and guidance in the development and implementation of compliance policies, procedures, and related internal controls consistent with legislative and regulatory requirements, supervisory expectations, emerging trends, and industry best practices.
  • Supports assigned projects, workstreams, and governance deliverables by helping the team prioritize work, monitor progress, remove execution barriers, escalate risks and issues, and complete management reporting and regulatory deliverables in a timely manner.
  • Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, sanctions and conduct risk.
  • Leverages data analytics, visualization, and data mining capabilities to strengthen management reporting, identify trends, improve data quality, and drive efficiency across regulatory obligations and controls processes.
  • Supports the team in identifying and advancing opportunities to automate manual processes, streamline workflows, and enhance operational efficiency while maintaining appropriate governance, documentation, and control standards.
  • Provides management support for complex regulatory processes, including guiding cross-functional coordination, helping consolidate data from Compliance Advisory reviews, supporting discrepancy resolution, assessing regulatory change impacts, and ensuring accurate documentation and tracking of updates.
  • Supports the development of visualization and analytics tools by helping translate team needs into practical reporting solutions that assess changes to the compliance landscape and enable proactive management decision-making.
  • Fosters a supportive, high-performance, and inclusive work environment by providing day-to-day guidance, coaching, knowledge-sharing, and constructive feedback to team members, while helping develop team capability and broader team effectiveness.


What You'll Bring
  • Bachelor's Degree required, preferably in Finance, Business Administration or a quantitative field.
  • MBA or other relevant advanced degree required.
  • Prior experience providing people leadership, coaching, day-to-day management support, or oversight of analysts, contractors, or project resources preferred.
  • A minimum of (5) five years of banking compliance, regulatory obligations, controls, regulatory change management, or related risk management experience, preferably with a major international banking organization with institutional trading & sales, investment banking, capital markets, institutional broker dealer and FCM/swap dealer businesses.
  • Advance proficiency in Word, Excel, PowerPoint, and Power BI.
  • Proven track record in data analytics and data mining, with extensive experience in managing and manipulating large databases to drive efficiency and insights.
  • Demonstrated project management experience, including ability to support team execution, manage stakeholders, prioritize deliverables, remove barriers, and drive execution across multiple complex initiatives.
  • Outstanding communication and stakeholder management abilities, with the ability to work independently, support team members, influence outcomes, and engage effectively with senior management.
  • Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
  • Highly organized and capable of dealing with multiple, complex projects simultaneously.
  • Ability to deal with time sensitive requests, competing priorities and fluctuating email volumes.
  • Ability to maintain high standards of professionalism, performance, confidentiality, integrity, timeliness and efficiency at all times.

Interested?

If your experience is closely related but doesn't align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank!

What's in it for you?

Scotiabank wants you to be able to bring your best self to work - and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.

#GBM

About Scotiabank

Scotiabankers are committed to helping individuals, companies, and communities to thrive in a changing world. From personal and business banking, brokerage, and insurance, to private wealth, and the most sophisticated commercial, corporate and institutional services, they serve the diverse needs of some 21 million customers in more than 55 countries. Founded in 1832 in Halifax, Nova Scotia, their growth has always been fuelled by the success of their customers and their longevity secured by an unshakable commitment to carefully and expertly managing risk and capital. That focus on doing what's right for customers—short- andlong-term—has made us a global financial services leader. Headquartered in Canada, they are over 86, 000 Scotiabankers strong. Each of us are committed to being the best at understanding their customers' needs and all of us working together to deliver practical advice and relevant solutions that help their customers become financially better off.

Scotiabank Careers

Join Scotiabank, a premier financial institution, and become part of a diverse and inclusive team that’s leading the way in global banking. At Scotiabank, we offer more than just job opportunities; we provide a platform for professional growth and innovation in the financial services industry.

Work You’ll Do

At Scotiabank, we’re not just filling positions; we’re cultivating leaders. Dive into a workplace where diversity training and leadership development shape the path to your future. Our commitment to professional growth is evident in our robust training programs and continuous learning opportunities that foster innovation and strategic thinking.

Explore a World of Opportunities

Whether you’re looking for a full-time position, an internship, or a leadership role, Scotiabank has a spectrum of opportunities to fit your career ambitions. Our team is composed of individuals who bring a wealth of skills and perspectives to our company, driving us forward with their creativity and strategic insights.

Innovative Work Environment

Scotiabank’s culture is one of collaboration and respect, where each team member’s contribution is valued. Engage in meaningful work that challenges you to leverage your skills and push the boundaries of what’s possible in the banking sector. Our innovative projects not only support the growth of the company but also ensure our position as a leader in the industry.

Benefits and Growth

Choosing a career at Scotiabank means opting for a life of growth and opportunity. Our employees enjoy competitive benefits, including comprehensive health coverage, retirement plans, and flexible working conditions, all designed to support your career and personal life. We believe in nurturing our team’s potential by providing them with the tools they need to succeed both professionally and personally.

Join Our Team

Ready to take the next step in your career? Explore the job opportunities at Scotiabank by searching our open positions that match your skills and interests. We are continuously hiring and looking for passionate, curious, and solution-driven team players.

Networking and Professional Development

Stay connected and advance your career through Scotiabank’s extensive networking opportunities. Participate in events that connect you with other professionals and leaders within the industry. Our career resources will help you prepare your resume, ace your interviews, and land the job that best suits your career goals.

Stay Ahead

Keep up to date with the latest in career tips, industry insights, and company news—all from the people who work here at Scotiabank. Personalize your experience by subscribing to job alert emails tailored to your preferences and be the first to know about new openings and exciting developments. Join Scotiabank and be part of a team that values integrity, respect, and accountability. Discover how your career can flourish in an environment committed to your professional development and personal growth.
Learn more about Scotiabank
Size
90,619 employees
Market Cap
$57.5 billion
Industry
Finance & Insurance
5 Year Trend
+7%
NASDAQ
BNS
* Ladders Estimates

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