Securities Settlements Manager | Regulatory Controls

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

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.