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Legal Counsel - Structured Notes and Equity Derivatives

Posted on: 6 Jul 2019 374 views
: Legal Counsel
: Scotiabank
: JD
: 7


Employee Referral Program – Potential Reward:  


We are committed to investing in our employees and helping you continue your career at Scotiabank.


Candidates must be legally authorized to work in USA - Visa sponsorship is not available


Contributes to the overall success of the U.S. Legal Department supporting Global Banking and Market’s U.S. Investor Solutions and Equity Derivatives business in New York, ensuring specific individual goals, plans and initiatives are executed and delivered in support of business strategies and objectives. Helps ensure activities conducted are in compliance with governing regulations, internal policies and procedures.


  • Serve as legal point person in connection with the issuance of structured notes that are issued under SEC registration, 144A, Regulation S and 3(a)(2) Notes and linked to various asset classes such as equities, rates, commodities, currencies, indices, baskets and registered and unregistered funds. 
  • Manage legal aspects of structured products transactions, including (1) reviewing deal documentation and marketing materials and (2) participating in presentations of new products to relevant internal committees.
  • Review and provide advice on proposed new products, including potential legal, regulatory and reputational risks.
  • Work with the business client to integrate into their current process flows and support increasing deal flow.  
  • Coordinate closely with Head Office Legal department colleagues to help ensure consistency, where appropriate, with Scotiabank’s structured notes program in other jurisdictions and assist with maintenance of U.S. registered shelf.   
  • Review and negotiate underwriter and dealer agreements, accession letters, NDAs, licenses and other related agreements.
  • Work with the business to retain local counsel opinion matrix for foreign jurisdiction opinions and advice used for offshore and onshore issuance platforms.
  • Support derivatives desk in reviewing documentation for transactions such as call spreads in connection with, accelerated share repurchase transactions, variable delivery forwards, collar plus loan structures and other structured financing transactions with corporate clients.
  • Provide oversight of external counsel supporting Scotiabank’s U.S. asset-based securitization business. 
  • Provide advice regarding U.S. securities laws and FINRA requirements related to marketing and issuing of structured products as well as other derivative business conducted by the desk
  • Maintain an awareness of and monitor the regulatory environment for emerging legislation and policy statements, along with relevant trends and industry best practices applicable to the structured notes business, including through participation in industry associations, contact with regulators, and liaison with counsel and auditors.

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Education / Experience 

  • U.S. Licensed Attorney
  • Minimum of 7 years of legal experience working on U.S. structured products and equities at a major investment bank 
  • Knowledgeable of U.S. securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934, applicable FINRA regulations, and working knowledge of ISDA agreements. 
  • Experience with structured certificates of deposit helpful   


Location(s):  United States : New York : New York City 

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