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Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance
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$174,700 - $286,000 a year
Full-time
- Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals.
- Acts as the Chief Compliance Officer for the U.S. broker dealer and Head of Corporate Functions Compliance, The role will lead and oversee the Markets Compliance and Corporate Functions Compliance teams in the United States.
- Works collaboratively with key stakeholders, including other Compliance functions, Internal Control, Regulatory Relations, Legal, Risk Management, and AML Compliance.
- Creates an environment in which Compliance pursues effective and efficient operation in accordance with Scotiabank values and its Code of Conduct, while ensuring the adequacy and effectiveness of controls, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Builds a high-performance environment and implements a people strategy that attracts, retains, develops, and motivates the Markets Compliance team by fostering an inclusive work environment and using a coaching mindset and behaviors, communicating vison/values/business strategy, and managing succession and development planning for the team.
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