Senior Manager, Regulatory Control & Operational Oversight

Responsibilities

• Lead and develop a small team responsible for regulatory reporting, post-settlement controls, and asset servicing oversight.
• Oversee the delivery of accurate regulatory financial filings and ensure operational data aligns with capital adequacy and customer asset protection requirements.
• Manage daily execution of controls to ensure compliance with SEC financial responsibility rules, including capital and reserve requirement calculations.
• Monitor outsourced asset servicing functions, including corporate actions and income processing, to ensure adherence to service standards.
• Drive process efficiency by partnering with Technology and Data teams to implement automation and reduce manual reporting workflows.
• Maintain a robust control environment and ensure the team is audit-ready for regulatory examinations and internal audits.
• Prepare and present operational performance metrics and regulatory summaries to senior leadership.

Requirements

• 5-8+ years of experience in financial services operations, specifically in regulatory reporting, post-trade controls, or broker-dealer compliance.
• Proven experience leading or managing a small team in a high-pressure, deadline-driven environment.
• Deep working knowledge of SEC Rules 15c3-3 and 15c3-1.
• FINRA Series 99 registration is required (or willingness to obtain within an agreed timeframe).
• Undergraduate degree in Finance, Business, Accounting, or a related field.
• Strong proficiency in Microsoft Excel and experience with data analysis or reporting tools.

Preferred Qualifications

• Experience with automation tooling such as Alteryx, Power BI, Python, or RPA.
• Familiarity with industry operations platforms and post-trade infrastructure.
• Experience managing oversight of outsourced functions or affiliate operations.

About the Company

Scotiabank is a leading bank in the Americas, providing a broad range of 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 significant and growing platform in the US and Latin America.