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About the Role

Contributes to the success of the Scotia Capital (USA) Inc. Finance & Regulatory team by ensuring compliance with regulations and internal policies, and supporting the preparation of core regulatory reports for a Broker Dealer.

Responsibilities

• Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Support the preparation of core regulatory reports including FOCUS (Balance Sheet, Net Capital), 15c3-1 Daily Net Capital, 15c3-3 Daily Customer Reserve Computation, Supplemental FINRA reporting, TIC, FRY-15, CUSO, US Dept. of Commerce Survey BE-605 and BE-185, and Bi-Monthly Short Interest Reports to FINRA.
• Assist in developing procedures and flowcharts for monthly FOCUS report preparation, regulatory capital and client protection processes, and FRB reporting for TIC and Y-15.
• Attend industry conferences and training events to stay updated on new rules or regulation changes impacting the broker dealer.
• Assist in preparing daily and monthly analytics, quarterly board packages, and other management packages.
• Assist Manager(s) and Senior Manager(s) with audit requests and regulatory ad-hoc requests from regulators, external/internal auditors, and FOR A.
• Maintain and monitor audit request logs to ensure timely closure of requests and issues.
• Develop and enhance internal work papers to improve process efficiency.
• Support the Senior Manager in collaborating with Risk, Operations, Front Office, and Treasury to optimize the SCUSA balance sheet, reduce capital costs, and grow the business while maintaining capital compliance.
• Work with key business support partners to understand the business and ensure the team receives accurate data.
• Actively pursue efficient operations in respective areas, adhering to Scotiabank’s Values, Code of Conduct, and Global Sales Principles.
• Ensure adequacy, adherence to, and effectiveness of day-to-day business controls for operational, compliance, AML/ATF/sanctions, and conduct risk.
• Champion a high-performance and inclusive work environment.
• Understand how the Bank’s risk appetite and risk culture should be considered in daily activities and decisions.
• Utilize technology to automate regulatory filings (e.g., 15c3-3 Customer Reserve, FR Y 15, FINRA Supplemental Reports) to enhance resiliency, transparency, and accuracy.

Requirements

• Accounting or Finance Degree
• Knowledge of Finance/Accounting Principles
• Excellent Communication and interpersonal skills
• Computer skills with proficiency in MS Office software
• Must be organized and able to multi-task
• Familiarity with pivot tables and macros
• Understand how critical data elements impact downstream reporting
• Function in a matrix reporting and management by objective structure
• Looking forward to and introduce use of AI to streamline day-to-day processes

Skills

• MS Office
• Pivot tables
• Macros
• AI

Location

• United States

Work Type

• Full-time

Education Level

• Accounting or Finance Degree

Benefits

• Flexible benefit programs designed to support unique family, financial, physical, mental, and social health needs.

About the Company

• Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years.
• Scotiabank’s strong U.S. presence provides clients an important bridge to this key global market for trade and investment flows across the Americas and the world.
• Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of clients.
• Products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange, and precious & metals.
• The business also cross-sells the full range of wholesale products and services offered by the Scotiabank Group.
• Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for clients across industries.
• We work together to drive ambition for every future!

Equal Opportunity

• At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences.
• That’s why we work to grow and diversify talent and engage employees in a performance-oriented culture.