Compliance Policies and Procedures Coordinator

  • New York, NY


: $114,920.00 - $104,060.00 /year *

Employment Type

: Full-Time


: Advertising/Marketing/Public Relations

Requisition ID: 68595Cost Centre: NEW YORK AGENCY GENERALWe are committed to investing in our employees and helping you continue your career at Scotiabank.Purpose:The objective of this position is to ensure that the U.S. operations of The Bank of Nova Scotia, Scotia Capital (USA) Inc. and their affiliates (collectively the \"Bank\") have appropriate internal controls (i.e., policies, procedures, processes) in place to satisfy applicable U.S. legal and regulatory requirements/obligations. The Coordinator will primarily assist the Senior Manager and Head of U.S. Regulatory Controls Management (\"Head\") in the implementation of the U.S. Compliance Department's processes for managing the development and maintenance of Compliance policies, procedures and processes, including playing an integral role in the drafting and review of Compliance-related Policy Documents. The Coordinator will also assist coordinating the U.S. Compliance Department's review and approval of Global Compliance Department policies and procedures. The role will entail substantial coordination with various business units, control functions and other teams within the Compliance function.Key Accountability:* Serve as a permanent member of the Compliance Policy Document Working Group to assist various Compliance stakeholders in drafting and reviewing compliance-related policies and procedures, and related internal controls.* Assist in enhancing and managing robust and comprehensive processes for developing, maintaining and reviewing/approving Compliance Policy Documents (including written compliance procedures), including liaising with Global Compliance to develop and maintain a Compliance Policy Document repository and providing oversight and maintaining database for U.S. written compliance procedures.* Assist in establishing and maintaining appropriate standards for regulatory risk-related policies & procedures and related internal controls and ensure that front, middle and support office functions (including Compliance) adhere to such standards.* Track the development and periodic review of compliance risk-related policies & procedures and related internal controls by front, middle and back office functions (including written compliance and supervisory procedures).* Maintain an awareness of and assist with the monitoring of the regulatory environment for new and emerging legislation, policy statements, relevant trends and industry best practices and determine how they impact the Bank's policies, procedures and related controls.* Other duties and projects as may be assigned from time to time.Education & Experience:* A minimum of four years of compliance experience preferably with a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses.* A minimum of three years of experience establishing and maintaining appropriate standards for regulatory risk-related policies & procedures and related internal controls within the financial services industry.* Outstanding written (drafting & editing) and spoken communication abilities.* A good understanding of applicable Federal and State laws applicable to non-U.S. banks operating in the U.S., SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors.* Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.* Ability to work independently and effectively with senior management.* Sound judgment in identifying risks in order to proactively escalate to relevant senior management.* Excellent teamwork, interpersonal and conflict resolution skills.* Highly organized and capable of dealing with multiple, complex projects simultaneously.* Proficiency with standard computer applications including Word, Excel, and PowerPoint.* BA or international equivalent required. JD preferred but not required.Location(s): United States : California : San Francisco || United States : Florida : Miami || United States : Illinois : Chicago || United States : Louisiana : New Orleans || United States : Massachusetts : Boston || United States : New York : New York City || United States : Texas : HoustonAs Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. We value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.Job Segment: Compliance, Bank, Banking, Developer, Law, Legal, Finance, Technology

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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