Manager, GWO Securities Settlements - Regulatory Control

Title: Manager, GWO Securities Settlements - Regulatory Control Requisition ID: 267114 Salary Range: - Purpose Contributes to the overall success of the Securities Settlements team in NY ensuring specific individual goals, plans and initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. What You'll Do Leads and drives a customer-focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems and knowledge. Oversees and performs quantitative daily, monthly, quarterly and annual controls, including Cash, Position, Trial Balance Attestation and Stock Record reconciliations of SCUSA’s books and records. Oversees and performs qualitative controls related to New Account Designation, Confirm and Statements. Performs regulatory functions including FINRA extensions and collateral information submissions to the relevant regulator. Maintains strong relationships with the desks, operations teams and other support groups. Supports new business initiatives and operational projects as a subject matter expert to enhance, modify or change systems and processes within the department. Facilitates internal and external audits. Applies the Bank’s risk appetite and risk culture in day-to-day activities and decisions. Pursues effective and efficient operations in accordance with Scotiabank’s Values, Code of Conduct and Global Sales Principles, while ensuring adequate and effective business controls to meet operational, compliance, AML/ATF/sanctions and conduct risk obligations. Builds and contributes to a high-performance, inclusive work environment by sharing best practices, supporting team members, encouraging coaching and feedback, and demonstrating resilience when addressing challenges or setbacks. Takes initiative to develop coaching and feedback capabilities as a subject matter expert and problem solver within the team. What You'll Bring Series 99 5+ Years of possession and control experience. Systems knowledge should include, but not mandatory, Broadridge BPS (Stock Record, Margin, PCAN, REOR, Div Rewrite), Postedge, DTC. Skilled Microsoft Excel User What's in it for you? Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs. Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law. #J-18808-Ljbffr Scotiabank