Manager, U.S. Broker Dealer Regulatory Reporting

Responsibilities

• Prepare the SEC Regulation 15c3-3 Customer Reserve Requirement calculations
• Assist in the preparation of FOCUS Reports, related supplementary schedules, and daily 15c3-1 Net Capital Computations
• Manage monthly 15c3-3 stock record reconciliations to the FOCUS Balance Sheet
• Collaborate with technology partners to enhance reserve calculations, including developing risk control matrices and process flows
• Prepare and present regulatory monthly analytics to senior management
• Research rule interpretations and provide regulatory guidance for new product initiatives
• Liaise with internal and external auditors and regulators during quality assurance reviews and examinations

Requirements

• Finance or Accounting Degree
• 5-10 years of experience in Broker Dealer Regulatory Reporting or highly relevant skills
• Strong knowledge of financial accounting, preferably within a Broker Dealer environment
• Proven ability to implement reporting within a system of controls
• Strong analytical skills and an internal control mindset
• A proactive approach to learning and improving processes

About the Company

Scotiabank is a leading bank in the Americas, providing a broad range of advice, products, and services including personal and commercial banking, wealth management, and capital markets. Our Global Banking and Markets division is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America.