Regulatory Control Analyst – Securities Settlements

Scotiabank; Dallas (TX); On-site; USD 65,000 - 90,000; Full time

Job summary

Scotiabank is seeking an Analyst for Regulatory Control in the Dallas area. The role supports daily regulatory control activities within Global Banking and Markets, focusing on securities settlements and reconciliation processes.

The candidate should have 1–2+ years in possession and control, experience with settlements, and familiarity with Broadridge BPS, Postedge and DTC. Strong Excel skills are required, with a focus on accuracy and analysis.

Qualifications

• Series 99 preferred or required based on role responsibilities.
• 1–2+ years of Possession and Control, securities settlements, reconciliation or related financial services operations experience preferred.
• Working knowledge of Broadridge BPS, Postedge and DTC preferred; willingness and ability to develop system knowledge required.
• Proficient Microsoft Excel user with strong attention to detail and analytical skills.

Responsibilities

• Champions a customer-focused culture to deepen client relationships and leverage broader Bank relationships.
• Researches and determines the type of segregation deficit and assigns daily items to the teams responsible for resolution.
• Evaluates and assigns aged segregation deficits to the teams responsible for resolution.
• Investigates each segregation deficit, determines the cause and updates the segregation system.
• Researches deficits to identify potential automated or processing solutions to prevent recurrence and support trend analysis.
• Monitors daily segregation deficit responses and confirms that resolution steps have been processed and deficits are resolved.
• Prepares MIS reporting for segregation deficits and root-cause analysis to identify trends and support process improvements.

Skills

Series 99

Possession & Control experience

Excel

Tools

Broadridge BPS

Postedge

DTC

Job description

Scotiabank is seeking an Analyst for Regulatory Control in the Dallas area. The role supports daily regulatory control activities within Global Banking and Markets, focusing on securities settlements and reconciliation processes.

The candidate should have 1–2+ years in possession and control, experience with settlements, and familiarity with Broadridge BPS, Postedge and DTC. Strong Excel skills are required, with a focus on accuracy and analysis.