This listing was posted on Tip Top Job.
Manager, Markets Compliance Officer
Location:
Manhattan, NY
Description:
Requisition ID: Salary Range:85,700.00:159,100.00 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 and 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 and acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious and 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 Contributes to the overall success of the Equities and Fixed Income, Currencies and Commodities (FICC) sales and trading businesses in the U.S. ensuring specific individual goals, plans, initiatives are executed / delivered in support of the Bank's business strategies and objectives. Assist in providing advice on compliance with governing regulations and Bank internal policies and procedures. What You'll Do : Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.: Provide primary compliance support for U.S. Treasury Auctions.: Assist with advice on the application of laws, rules, and regulations for Equities and FICC securities trading and sales businesses, as well as internal policies and procedures. : Prepare materials for relevant business forums and internal meetings and participate in the meetings as assigned. : Assist with online and in:person compliance training for sales and trading staff and related support personnel. : Review and provide comments to relevant business and compliance policies and procedures to make sure they reflect current practices and address regulatory requirements. : Participate in the effective challenge of compliance risk assessments for Equities and FICC businesses, and adequately document the rationale for Compliance's view.: Assist with the investigation of trade or communication alerts escalated by Surveillance or Internal Control.: Assist in the investigation and drafting of responses to regulatory inquiries by obtaining requested trading data, analyzing any potential compliance issues identified, and preparing a draft of a written response.: Assist in preparing responses to requests received during regulatory examinations by obtaining relevant data and records.: Conduct assigned monitoring and compliance processes in accordance with written compliance procedures and evidence completion of tasks.: Assist in the execution of action plans for Internal Audit and Compliance Testing findings assigned to Compliance to adequately address deficiencies and facilitate timely issue closure. : 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 operation of assigned responsibilities
Industry:
Insurance
Posted:
May 1 on Tip Top Job
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