Senior FICC Compliance Lead, US Markets

Scotiabank; New York (NY); Sur place; USD 121 000 - 231 000; Plein temps

Résumé du poste

Scotiabank in New York seeks a FICC Compliance Officer, Senior Manager to provide primary compliance coverage for US FICC businesses within US Markets Compliance. You will advise on laws, rules, and internal policies to support risk management.

The role requires 5–7 years of compliance experience, strong analytical skills, and the ability to coordinate across multiple management levels and jurisdictions. Be part of a global bank with a culture of inclusion and performance.

Qualifications

• A minimum of 5-7 years of compliance experience, including experience providing advisory support to a US fixed income sales and trading operation.
• Knowledge of Treasury best practices and regulations, Government Securities Dealer requirements, and SEC and FINRA rules and guidance on fixed income cash and OTC derivatives trading, including requirements for markups, markdowns, best execution, and TRACE trade reporting.
• Experience developing policies and procedures, providing compliance training, conducting compliance risk assessments, responding to regulatory inquiries, etc.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Able to coordinate across multiple management levels, jurisdictions, business lines and support functions to drive results.
• Able to operate with minimal direction, deliver work product of the appropriate quality, set goals

Responsabilités

• Champion a customer-focused culture and assist the US sales and trading businesses in their effort to deepen client relationships by leveraging broader Bank relationships, systems, and knowledge.
• Provide day-to-day compliance support for FICC cash trading and sales businesses by advising on the application of laws, rules, and regulations, as well as internal policies and procedures, to the businesses.
• Communicate with FICC management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in relevant business forums and internal meetings.
• Provide support to and monitor Treasury auctions to ensure bidding practices are in line with regulatory expectations and BNS NYA procedures. Assist in addressing issues relating to Treasury auctions.
• Create and provide online and in-person compliance training for FICC professionals and support personnel. Coordinate with other Compliance officers to ensure training is consistent across businesses. In coordination with the Training Group, evaluate personnel in scope for training.
• Develop, draft, amend and maintain FICC-related compliance policies, procedures and manuals outlining firm requirements, regulations, and best practices. Provide comments to relevant business and compliance policies and procedures as part of the internal review and governance process. In coordination with Internal Control, conduct reviews of written supervisory procedures assigned to FICC supervisors to ensure they adequately reflect current practices and regulatory requirements.

Description du poste

Scotiabank in New York seeks a FICC Compliance Officer, Senior Manager to provide primary compliance coverage for US FICC businesses within US Markets Compliance. You will advise on laws, rules, and internal policies to support risk management.

The role requires 5–7 years of compliance experience, strong analytical skills, and the ability to coordinate across multiple management levels and jurisdictions. Be part of a global bank with a culture of inclusion and performance.