Hybrid: Senior FICC Compliance Officer, US Markets

Scotiabank - Global Banking and Markets; New York (NY); Hybrid; USD 121,000 - 231,000; Full time

Job summary

Scotiabank - Global Banking and Markets is hiring a Senior Manager, FICC Compliance, to provide primary compliance coverage for US FICC businesses in New York. The role supports regulatory obligations, risk management, and the compliance program across trading and sales activities.

The ideal candidate has 5–7 years in compliance, strong knowledge of fixed income markets, and experience creating policies and training. This hybrid role emphasizes collaboration with the US Markets Compliance team.

Qualifications

• Minimum 5-7 years of compliance experience in US fixed income sales and trading.
• Knowledge of Treasury best practices, Government Securities Dealer requirements, and SEC/FINRA rules.
• Experience developing policies, providing training, and conducting risk assessments.

Responsibilities

• Provide advisory support to US FICC sales and trading on applicable laws, regulations, and internal policies.
• Develop, maintain and update FICC compliance policies and procedures.
• Conduct monitoring and respond to regulatory inquiries and examinations.
• Coordinate with Internal Control and Compliance to ensure appropriate controls and supervision.

Skills

Compliance experience

Regulatory knowledge

Risk assessment

Policy development

Training delivery

Interpersonal skills

Communication skills

Education

Bachelor's degree

JD or MBA (plus)

Tools

FINRA Series 24

Job description

Scotiabank - Global Banking and Markets is hiring a Senior Manager, FICC Compliance, to provide primary compliance coverage for US FICC businesses in New York. The role supports regulatory obligations, risk management, and the compliance program across trading and sales activities.

The ideal candidate has 5–7 years in compliance, strong knowledge of fixed income markets, and experience creating policies and training. This hybrid role emphasizes collaboration with the US Markets Compliance team.