Senior Manager, U.S. Regulatory Obligations Lead jobs in United States
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Scotiabank · 1 day ago

Senior Manager, U.S. Regulatory Obligations Lead

positionDallas, TX
timeFull-time
remoteOnsite
senioritySenior Level
date7+ years exp

Scotiabank is a leading bank in the Americas, committed to creating an inclusive and high-performing culture. The Senior Manager, U.S. Regulatory Obligations Lead will ensure that the U.S. operations of the Bank have appropriate internal controls in place to satisfy applicable U.S. legal and regulatory requirements, while developing processes for tracking legal and regulatory developments.

BankingFinanceFinancial Services
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H1B Sponsor Likelynote

Responsibilities

Assist in the development and implementation of a global, cross-divisional framework for identifying and tracking legal & regulatory requirements/obligations, policies and procedures, and related internal controls
Assist in the maintenance of the Regulatory Library that houses all regulatory requirements/obligations and risk-related controls applicable to the Bank’s US operations. Facilitate periodic review and attestation of subject matter experts relative to the Regulatory Library content
Assist in developing and maintaining robust and comprehensive processes and procedure documents for (i) identifying legal and regulatory requirements/obligations applicable to the Bank’s US operations and (ii) tracking changes to such requirements/obligations, policies and procedures, and related internal controls arising from new or amended laws/regulations or changes in business activities
Assist in the independent second line quality review processes geared towards a comprehensive regulatory library encompassing timely and accurate updates from the regulatory change management processes
Interface with the Enterprise Team to develop processes and systems to map applicable legal & regulatory requirements/obligations to relevant policies and procedures and internal controls in accordance with U.S. regulatory expectations and business/control function needs
Assist in integrating the Regulatory Library with the risk assessment process, including the logic, reports, and workflow as well as act as the liaison for the business line stakeholders to facilitate compliance review of control inventory
Assist in developing comprehensive regulatory change management framework for identifying legal and regulatory developments and changes to related policies and procedures and internal controls that may impact the Firm’s US operations and coordinating change management processes to address such developments
Maintain strong relationships with key stakeholders, including Compliance Advisory, Internal Audit, Operational Risk, and the relevant business areas to ensure their inputs are obtained in the risk assessment process
Maintain an awareness of and monitor the regulatory environment for new and emerging legislation, policy statements, relevant trends and industry best practices and determine how they impact related controls
Other duties and projects as may be assigned

Qualification

Compliance experienceRegulatory risk policiesFederalState lawsAnalytical skillsMS Excel proficiencyMS PowerPoint proficiencyWritten communicationInterpersonal skillsConflict resolutionOrganizational skills

Required

A minimum of seven years of compliance experience preferably with a major international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses
A minimum of five years of experience establishing and maintaining appropriate standards for regulatory risk related policies & procedures and related internal controls within the financial services industry
A good understanding of applicable Federal and State laws applicable to non-US banks operating in the US, SEC registered broker-dealers, futures commission merchants, swap dealers and registered investment advisors
Strong analytical and investigative skills and demonstrated ability to operate at a strategic level
Ability to work independently and effectively with senior management
Sound judgment in identifying risks in order to proactively escalate with relevant senior management
Outstanding written (drafting & editing) and spoken communication abilities
Excellent teamwork, interpersonal and conflict resolution skills
Highly organized and capable of dealing with multiple, complex projects simultaneously and independently
High Degree of proficiency with MS Excel and PowerPoint
BA or international equivalent required

Preferred

JD or MBA preferred

Company

Scotiabank

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Scotiabank is a banking firm that provides banking and financial services.
dateFounded in 1832
location
Toronto, Ontario, CAN
people-size10001+ employees
web-link
https://www.scotiabank.com

H1B Sponsorship

Scotiabank has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (52)
2024 (55)
2023 (29)
2022 (38)
2021 (38)
2020 (15)

Funding

Current Stage
Public Company
Total Funding
$1.07B
2024-04-17Post Ipo Debt· $1.07B
1972-03-01IPO

Leadership Team

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Jabar Singh
President & CEO Scotiabank Colpatria (Colombia) & Head Central America & Caribbean
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L.Scott Thomson
President and CEO
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Recent News

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Scotiabank shed almost 15,000 full-time employees in six years. Here’s why
2025-12-31
Canada NewsWire
Scotiabank's President and Chief Executive Officer Scott Thomson to Speak at RBC Capital Markets 2026 Canadian Bank CEO Conference Français
2025-12-24
Canada NewsWire
MDA SPACE ANNOUNCES CLOSING OF C$250 MILLION OFFERING OF SENIOR UNSECURED NOTES DUE 2030
2025-12-24
Company data provided by crunchbase