Securities Settlements Regulatory Control Specialist

Scotiabank; Dallas (TX); On-site; USD 85,000 - 110,000; Full time

Job summary

Scotiabank is seeking an Assistant Manager in GWO Securities Settlements - Regulatory Control in Dallas to contribute to the team’s control framework and regulatory compliance.

You will support daily controls, coordinate with desks and operations, assist audits, and help implement process improvements while applying risk culture and leveraging systems like Broadridge BPS, Postedge and DTC.

Qualifications

• 3+ years of Possession and Control, securities settlements or related regulatory control experience.
• Working systems knowledge should include, but is not mandatory, Broadridge BPS (Stock Record, Margin, PCAN, REOR, Div Rewrite), Postedge and DTC.
• Proficient Microsoft Excel user.

Responsibilities

• Supports a customer-focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Performs and supports quantitative daily, monthly, quarterly and annual controls, including Cash, Position, Trial Balance Attestation and Stock Record reconciliations of SCUSA’s books and records, escalating issues to the Manager as appropriate.
• Performs and supports qualitative controls related to New Account Designation, Confirms and Statements, ensuring exceptions are investigated, documented and escalated as required.
• Supports regulatory functions including FINRA extensions and collateral information submissions to the relevant regulator under Manager oversight.
• Maintains effective working relationships with the desks, operations teams and other support groups, escalating complex or sensitive matters to the Manager.
• Supports new business initiatives and operational projects by providing subject matter input and assisting with enhancements, modifications or changes to systems and processes within the department.
• Assists with internal and external audits by preparing requested evidence, supporting walkthroughs and coordinating responses with the Manager.
• 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.
• Contributes to a high-performance, inclusive work environment by sharing best practices, supporting team members, seeking coaching and feedback, and demonstrating resilience when addressing challenges or setbacks.
• Takes initiative to develop technical knowledge, problem-solving skills and control expertise to support day-to-day execution and issue resolution within the team.

Skills

Series 99

Controls experience

Excel proficiency

Tools

Broadridge BPS

Postedge

DTC

Job description

Scotiabank is seeking an Assistant Manager in GWO Securities Settlements - Regulatory Control in Dallas to contribute to the team’s control framework and regulatory compliance.

You will support daily controls, coordinate with desks and operations, assist audits, and help implement process improvements while applying risk culture and leveraging systems like Broadridge BPS, Postedge and DTC.