Manager, GWO Securities Settlements - Regulatory Control

Scotiabank; Dallas (TX); On-site; USD 110,000 - 160,000; Full time

Job summary

Scotiabank is seeking a Manager for GWO Securities Settlements - Regulatory Control in Dallas. The role focuses on driving controls, regulatory submissions, and cross-team collaboration to ensure compliant operations within SCUSA’s settlements function.

The ideal candidate has Series 99 certification, 5+ years of possession and control experience, and strong Excel skills. You will partner with desks, operations, and audit teams to strengthen controls and governance.

Qualifications

• Series 99 certification.
• 5+ years possession and control experience.
• Familiarity with Broadridge BPS, Postedge, DTC.
• Strong Microsoft Excel skills.

Responsibilities

• Leads and drives a customer-focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Oversees and performs quantitative daily, monthly, quarterly and annual controls, including Cash, Position, Trial Balance Attestation and Stock Record reconciliations of SCUSA’s books and records.
• Oversees and performs qualitative controls related to New Account Designation, Confirm and Statements.
• Performs regulatory functions including FINRA extensions and collateral information submissions to the relevant regulator.
• Maintains strong relationships with the desks, operations teams and other support groups.
• Supports new business initiatives and operational projects as a subject matter expert to enhance, modify or change systems and processes within the department.
• Facilitates internal and external audits.
• Applies the Bank’s risk appetite and risk culture in day-to-day activities and decisions.
• Pursues effective and efficient operations in accordance with Scotiabank’s Values, Code of Conduct and Global Sales Principles, while ensuring adequate and effective business controls to meet operational, compliance, AML/ATF/sanctions and conduct risk obligations.
• Builds and contributes to a high-performance, inclusive work environment by sharing best practices, supporting team members, encouraging coaching and feedback, and demonstrating resilience when addressing challenges or setbacks.
• Takes initiative to develop coaching and feedback capabilities as a subject matter expert and problem solver within the team.

Education

Series 99

Tools

Broadridge BPS

Postedge

DTC

Microsoft Excel

Job description

Title: Manager, GWO Securities Settlements - Regulatory Control

Requisition ID: 267114

Salary Range: -

Purpose

Contributes to the overall success of the Securities Settlements team in NY ensuring specific individual goals, plans and initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

What You'll Do

• Leads and drives a customer-focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Oversees and performs quantitative daily, monthly, quarterly and annual controls, including Cash, Position, Trial Balance Attestation and Stock Record reconciliations of SCUSA’s books and records.
• Oversees and performs qualitative controls related to New Account Designation, Confirm and Statements.
• Performs regulatory functions including FINRA extensions and collateral information submissions to the relevant regulator.
• Maintains strong relationships with the desks, operations teams and other support groups.
• Supports new business initiatives and operational projects as a subject matter expert to enhance, modify or change systems and processes within the department.
• Facilitates internal and external audits.
• Applies the Bank’s risk appetite and risk culture in day-to-day activities and decisions.
• Pursues effective and efficient operations in accordance with Scotiabank’s Values, Code of Conduct and Global Sales Principles, while ensuring adequate and effective business controls to meet operational, compliance, AML/ATF/sanctions and conduct risk obligations.
• Builds and contributes to a high-performance, inclusive work environment by sharing best practices, supporting team members, encouraging coaching and feedback, and demonstrating resilience when addressing challenges or setbacks.
• Takes initiative to develop coaching and feedback capabilities as a subject matter expert and problem solver within the team.

What You'll Bring

• Series 99
• 5+ Years of possession and control experience.
• Systems knowledge should include, but not mandatory, Broadridge BPS (Stock Record, Margin, PCAN, REOR, Div Rewrite), Postedge, DTC.
• Skilled Microsoft Excel User

What's in it for you?

Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.

Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.