Manager, SCI Regulatory Reporting, GBM Finance

Scotiabank; Toronto; On-site; CAD 90,000 - 130,000; Full time

Job summary

Scotiabank in Toronto seeks a Manager, SCI Regulatory Reporting, GBM Finance to lead the preparation and review of regulatory reports and ensure CIRO/CIPF compliance.

You will consolidate data from multiple units, serve as liaison with internal and external auditors, oversee attestation databases in Broadridge and PeopleSoft, and drive process improvements. The role emphasizes risk controls, governance, and collaboration with stakeholders across GBM Finance.

Qualifications

• University degree in accounting or finance with 5+ years in regulatory reporting or banking operations.
• Excellent knowledge of internal controls and CIRO/CIPF requirements.
• Strong communication and stakeholder management skills.
• Proficient in Microsoft 365; familiarity with ERP/GL systems; experience with Broadridge and PeopleSoft is a plus.

Responsibilities

• Prepare, analyze and review regulatory reports (MFR, Form 1, CIRO filings).
• Lead consolidation and analysis of data from SCI units; resolve data discrepancies.
• Coordinate audits and respond to internal/external auditors' inquiries.
• Oversee CIRO Financial and Operations Compliance testing of internal controls.
• Supervise Broadridge (Subledger) and PeopleSoft control account attestations.
• Implement new reporting requirements and oversee system/process changes.
• Collaborate on ad-hoc GBM Finance projects and regulatory initiatives.
• Mentor team members, ensure coverage during absences and promote best practices.

Skills

Regulatory reporting

Internal controls

CIRO/CIPF knowledge

Broadridge BPS

PeopleSoft

Financial analysis

Stakeholder management

Education

University degree in accounting or finance

Tools

Broadridge (BPS)

PeopleSoft

Job description

Select how often (in days) to receive an alert:

Select how often (in days) to receive an alert:

Please be advised that our Careers site will be unavailable from November 28 at 12am ET to November 29 12am ET for scheduled system maintenance.

Title: Manager, SCI Regulatory Reporting, GBM Finance

Requisition ID: 272173

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Contributes to the overall success of Scotia Capital Inc. (“SCI”) Regulatory Reporting, GBM Finance in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.

Is this role right for you? In this role you will:

• Be responsible for the preparation, analysis and/or review of daily/monthly/annual regulatory reports that support the completion of regulatory deliverables such as Monthly Financial Report (“MFR”), Form 1, Notes to Financial Statements and the Statement of Member Assets by Location filings to Canadian Investment Regulatory Organization (“CIRO”)/Canadian Investor Protection Fund (“CIPF”).
• Lead the consolidation efforts and subsequent analysis of the regulatory/financial information solicited from numerous SCI supporting units, inclusive of investigation and resolution of any identified data discrepancies.
• Act as a central conduit for all internal and external audit inquiries; additionally, responsible for the coordination and oversight of critical deliverables and walk throughs to the external auditors.
• Conduct orderly execution of the annual CIRO Financial and Operations Compliance field examination and applicable testing of the internal controls and procedures that support CIRO requirements of the Annual Attestation of Internal Controls.
• Supervise Control Account attestation databases for Broadridge (Subledger) and PeopleSoft (general ledger), which are book of records platforms for SCI; accountable for the timely reporting and escalation of exceptions and unreconciled amounts to Senior Management and for driving the resolution of these with the appropriate stakeholders.
• Interpret and implement new reporting requirements and manage the implementation of system and procedural changes to ensure compliance with new regulatory requirements.
• Collaborate with internal stakeholders on ad-hoc projects in support of departmental objectives, GBM Finance initiatives or regulatory requirements.
• Provide coverage during absences to ensure key deliverables are covered and work collaboratively and coach/mentor team-members to ensure knowledge sharing, best practices and process improvements.
• 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 contribute to an inclusive work environment.
• Champion a customer‑focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• An in depth understanding of various types of securities (fixed income, equity, money market, listed and OTC derivatives, etc).
• Strong knowledge of accounting procedures, internal controls and the regulatory reporting requirements of the Bank, CIRO/CIPF.
• Expert knowledge of Broadridge (BPS) and working knowledge of PeopleSoft is required.
• Solid foundational knowledge of inner workings of GWO and Wealth Operations and the unique interdependencies between the various groups.
• Demonstrated ability to leverage non‑authoritative leadership (NAL) skills and proven ability to present complex, technical information to a variety of audiences
• Accurate and thorough skills, and able to perform independently with minimal direction, manage tight deadlines and prioritize tasks/deliverables.

Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have:

• University degree in accounting, finance or in a related field and minimum 5 years’ experience, preferably in the operational aspects of the banking/ brokerage industry.
• Excellent knowledge of internal controls and the regulatory reporting requirements of CIRO. Completion of Canadian Securities Course is an asset. Required to interpret and apply CIRO rules and guidelines.
• Excellent communication and interpersonal skills to act as a liaison with external and internal stakeholders. Strong analytical / problem solving skills are necessary to present complex, technical information to a variety of audiences.
• Proficient skills in Microsoft 365 and Office suites such as Excel, Word, PowerPoint, OneNote and working knowledge of PeopleSoft General Ledger and Broadridge platforms.

What’s in it for you?

• The opportunity to join a forward-thinking company surrounded by a collaborative team of innovative thinkers.
• A rewarding career path with diverse opportunities for professional development.
• Internal development to support your growth and enhance your skills.
• An organization committed to making a difference in our communities - for you and our customers.
• We have an inclusive and collaborative working environment that encourages creativity, curiosity, and celebrates success!

Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and our 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.

Job Segment: Accounting, PeopleSoft, ERP, Compliance, Law, Finance, Technology, Legal