Senior Analyst, Regulatory Obligations & Controls, U.S. Compliance_

New York City

Senior Analyst, Regulatory Obligations & Controls, U.S. Compliance

**Requisition ID:** 201761

**Salary Range:** 67,400.00 - 125,200.00

_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!

**Purpose:**

The Senior Analyst, Regulatory Obligations & Controls contributes to the overall success of US Compliance in the US ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives, ensuring all activities conducted are in compliance with governing regulations, internal policies and procedures.

This Senior Analyst will report to the Senior Manager, Regulatory Library Integration Lead and support in (i) the implementation of the U.S. Compliance Department’s process for maintaining its library of legal and regulatory obligations and inventory of associated controls, (ii) collaboration with the relevant compliance advisory team(s) to update the department’s inventory of obligations and controls, (iii) assist the U.S. point of contact for a global database that houses regulatory obligations and risk-related controls and (iv) advocate for the regulatory change management function by assisting front, middle and back office functions in developing and maintaining appropriate regulatory risk-related controls. This role will entail substantial relationship management with various business units, control functions and other teams within the Compliance function, such as the Compliance advisory teams.

**What You’ll Do:**

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

+ Manage the U.S. Regulatory Library and Control Inventory, including implementing regulatory content solution, collaborating and coordinating with U.S. business line compliance officers and business line support personnel to periodically update the U.S. regulatory obligations and associated controls.

+ Support the U.S. point-of-contact for Global Compliance initiatives as they impact the U.S. Regulatory Library and Controls inventory, including discussions relating to extraterritorial obligations and associated controls.

+ Liaise with the Global Compliance project team in the continued enhancement of a global database that houses all regulatory requirements/obligations and risk-related controls applicable to the Bank’s U.S. operations.

+ Assist the Global Compliance project team in developing processes, systems, and standards to map and update applicable legal & regulatory requirements/obligations to relevant policies and procedures and internal controls in accordance with U.S. regulatory expectations and business/control functions.

+ Collaborate in the implementation of a global, cross-divisional framework for identifying and tracking legal & regulatory requirements/obligations, policies and procedures, and related internal controls.

+ Advocate along with the Regulatory Controls Management team on the continuous enhancement of the regulatory change management framework for identifying legal and regulatory developments and changes to related policies and procedures and internal controls that may impact the Firm’s U.S. operations and coordinating change management processes to address such developments.

+ Analyze along with the Regulatory Controls Management team the compliance risk assessments and address inquiries relating to U.S. Regulatory Library and Controls Inventory.

+ Assist in the development and implementation of necessary compliance policies, procedures, and related internal controls consistent with legislative and regulatory requirements/expectations, emerging trends, and industry best practices.

+ Other management duties and projects as may be assigned from time to time.

+ Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

+ Actively pursue 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, AML/ATF/sanctions and conduct risk.

+ Champion a high-performance environment and contributes to an inclusive work environment.

**What You’ll Bring:**

+ Bachelor’s Degree required, preferably in Finance, Business Administration or related field.

+ MBA or other relevant advanced degree, a plus.

+ A minimum of two years of banking compliance 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, and PowerPoint; PowerBI experience a plus.

+ Project Management Experience; strong analytical, teamwork and problem-solving skills.

+ Outstanding communication abilities, with the ability to work independently, and effectively with senior management.

+ Sound judgment in identifying risks in order to proactively escalate with relevant senior management.

+ Experience managing regulatory library tools a plus.

+ 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?**

At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That’s why we work to grow and diversify talent and engage employees in a performance-oriented culture.

**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.

Location(s): United States : New York : New York City

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, pleaseclick here (cotiabank.com/careers/en/careers/technical-support-for-applicants.html) . Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.