Director, CIB & Research Compliance – ECM/M&A (US)

Scotiabank - Global Banking and Markets; New York (NY); Hybrid; USD 185,000 - 311,000; Full time

Job summary

Scotiabank Global Banking and Markets seeks a Director of CIB & Research Compliance for ECM and M&A / US GBM&T coverage. The role provides advisory support across ECM/M&A, ensures robust policies, and monitors regulatory developments in the US and internationally.

The successful candidate will lead compliance risk assessments, interact with business leaders, and drive training programs while aligning with Scotiabank’s risk appetite and Conduct policies.

Qualifications

• 10+ years of Legal or Compliance experience in CIB, Capital Markets and Research.
• Experience with US and international banking, SEC/FINRA rules, and equity/debt offerings.

Responsibilities

• Lead day-to-day and strategic guidance for ECM and M&A compliance.
• Develop and maintain Policies and Procedures in line with regulatory requirements.
• Monitor regulatory developments and coordinate with US/international teams.
• Design training programs and deliver routine/ad-hoc compliance training.
• Support Compliance testing, audits, and regulatory examinations.

Skills

Leadership

Regulatory knowledge

Strategic advisory

Cross-border compliance

Stakeholder management

Education

Bachelor's degree

JD or MBA preferred

Tools

Microsoft Office

Job description

Scotiabank Global Banking and Markets seeks a Director of CIB & Research Compliance for ECM and M&A / US GBM&T coverage. The role provides advisory support across ECM/M&A, ensures robust policies, and monitors regulatory developments in the US and internationally.

The successful candidate will lead compliance risk assessments, interact with business leaders, and drive training programs while aligning with Scotiabank’s risk appetite and Conduct policies.