Head of Control Room and CIB Advisory Canada - GBM&T Compliance

Responsibilities

• Lead the Compliance Advisory team for Corporate & Investment Banking (CIB) Canada, providing counsel to ECM, DCM, GLS, and Equity Research.
• Oversee the Global Compliance Control Room, managing watch and restricted lists, conflicts of interest, and research chaperone functions.
• Ensure business strategies and initiatives comply with Canadian and US regulatory requirements and internal policies.
• Drive a customer-focused culture by managing advisory relationships with business product and operational heads.
• Conduct and challenge risk assessments, including New Initiative Risk Assessments (NIRAs) and Compliance Risk and Control Assessments (CRCAs).
• Manage and mentor a global team of compliance professionals across multiple jurisdictions including Toronto, New York, London, and Singapore.
• Oversee regulatory information requests and coordinate responses to internal audits and international regulatory bodies.
• Report monitoring results, KRIs, and KPIs to senior business personnel and global compliance management.

Requirements

• Post-Secondary education or relevant professional designations.
• 10+ years of experience in an institutional business or compliance setting within a large financial institution or regulatory agency.
• 5+ years of experience in a management role leading direct reports.
• Deep subject matter expertise in Investment Banking, M&A, Corporate Banking, and Control Room functions (e.g., securities aggregation, insider trading, and conflict management).
• Comprehensive knowledge of Canadian and US securities laws, rules, and regulations.
• Strong project management skills with a track record of delivering regulatory or technology-based compliance projects.
• Excellent written and verbal communication skills with the ability to influence senior stakeholders.

About the Company

Scotiabank is a leading bank in the Americas, dedicated to helping customers, families, and communities achieve success through a broad range of financial products and services, including corporate and investment banking and capital markets.