US Broker-Dealer Regulatory Reporting Manager

Scotiabank - Global Banking and Markets; Dallas (TX); On-site; USD 110,000 - 160,000; Full time

Job summary

Global Banking and Markets at Scotiabank seeks a regulatory reporting specialist to support Broker-Dealer filings, capital and reserve reporting, and FINRA submissions. You will develop procedures, respond to audits, and partner with Risk, Operations, Front Office, and Treasury to optimize data accuracy and regulatory compliance.

The role focuses on U.S. regulatory reporting requirements, leveraging strong accounting knowledge and data controls.

Qualifications

• Accounting or Finance degree required.
• FINRA registration and broker-dealer certifications preferred.
• Knowledge of Finance/Accounting Principles.
• Excellent communication and interpersonal skills.
• Experience with Broker-Dealer regulatory reporting including awareness of emerging regulatory requirements impacting changes/enhancements to available data.
• Skilled at implementing reporting with a system of controls.
• Must be organized and able to multi-task.
• Familiarity with pivot tables and macros and understanding how critical data elements impact downstream reporting.
• Ability to introduce use of AI to streamline day to day process.
• Knowledge of SEC rule 17a5 Compliance report controls.
• Understanding of SEC regulations 15c3-1 & 15c3-3.
• Work in a standard office-based environment; non-standard hours are a common occurrence. Limited travel domestically.

Responsibilities

• Support the preparation of the core regulatory reports required to be produced by a Broker Dealer.
• Monthly FOCUS Report preparation.
• 15c3-1 Daily Net Capital reporting.
• 15c3-3 Daily Customer Reserve computations.
• Supplemental FINRA reporting (SSOI, SLS, etc.).
• TIC, FRY-15, CUSO Reporting.
• BE-605/BE-185 reporting with the Dept. of Commerce.

Skills

Excellent communication

Interpersonal skills

Multi-tasking

Pivot tables

Macros

Regulatory reporting

AI in workflows

Education

Accounting or Finance Degree

Job description

Global Banking and Markets at Scotiabank seeks a regulatory reporting specialist to support Broker-Dealer filings, capital and reserve reporting, and FINRA submissions. You will develop procedures, respond to audits, and partner with Risk, Operations, Front Office, and Treasury to optimize data accuracy and regulatory compliance.

The role focuses on U.S. regulatory reporting requirements, leveraging strong accounting knowledge and data controls.