Senior Manager, US Broker-Dealer Regulatory Reporting

Scotiabank; Dallas (TX); On-site; USD 120,000 - 160,000; Full time

Job summary

Scotiabank in Dallas seeks a Manager, U.S. Broker Dealer Regulatory Reporting to ensure compliance with SEC and FINRA rules and to supervise regulatory filings.

You will coordinate with Risk, Operations, Front Office, and Treasury, develop data quality standards, and respond to audit inquiries, while using data automation to improve efficiency.

This role requires accounting/finance degree and FINRA registration, with strong communication and analytical skills.

Qualifications

• Accounting or Finance degree is required.
• Knowledge of Finance/Accounting principles is essential.
• FINRA registration and broker-dealer certifications preferred.
• Experience with broker-dealer regulatory reporting and data quality.
• Ability to respond to audit inquiries and regulatory requests.
• Proficiency with pivot tables and macros.

Responsibilities

• Prepare regulatory reports for broker-dealers (FOCUS, 15c3-1, 15c3-3).
• Support development of procedures and flowcharts for reporting processes.
• Assist regulators, auditors, and public accounting firms with inquiries.
• Prepare daily/monthly analytics and board management packs.
• Collaborate with Risk, Operations, Front Office and Treasury on data and controls.
• Drive data quality and automated filings using technology.

Skills

Accounting/Finance degree

FINRA registration

Broker-Dealer regulatory reporting

Regulatory reporting controls

Audit/support inquiries coordination

Pivot tables & macros

AI for process automation

Strong communication skills

Education

Accounting or Finance Degree

Job description

Scotiabank in Dallas seeks a Manager, U.S. Broker Dealer Regulatory Reporting to ensure compliance with SEC and FINRA rules and to supervise regulatory filings.

You will coordinate with Risk, Operations, Front Office, and Treasury, develop data quality standards, and respond to audit inquiries, while using data automation to improve efficiency.

This role requires accounting/finance degree and FINRA registration, with strong communication and analytical skills.