Senior Manager, Regulatory Control & Operational Oversight

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. The Senior Manager, Regulatory Control & Operational Oversight leads a small team within Global Wholesale Operations, responsible for the day-to-day delivery, quality, and ongoing improvement of regulatory reporting and post-trade control processes that support Scotiabank's US broker-dealer.

Requirements

• 5-8+ years of experience in financial services operations, with exposure to regulatory reporting, post-trade controls, or financial responsibility compliance within a broker-dealer or similar regulated environment.
• Prior experience leading or managing a small team.
• Solid working knowledge of SEC Rules 15c3-3 and 15c3-1, including reserve formula mechanics, possession and control requirements, and the interaction between operational settlement activity and regulatory capital.
• FINRA Series 99 registration required; willingness to obtain within an agreed timeframe.

Benefits

• Holistic well-being programs
• Flexible benefit programs
• Professional development opportunities