Joseph Bruno Email & Phone Number

Toronto, Ontario, Ca

• Support the development and maintenance of the Front Office Supervision Framework. • Ensure the Supervisory framework for front office activities is conducted in compliance with applicable rules and regulations, and Scotiabank’s internal policies and procedures. • Maintain the Scotiabank Supervisory Policy by keeping it current and update targeted procedures such as Written Supervisory Procedures (WSPs) for each Desk; as well as maintaining the supervisory roster and delegation process. • Meet with the Head of Global Banking and Markets (GBM), the GBM COO and other Senior Management on a periodic basis to discuss any issues, conduct, or other matters requiring attention with respect to Supervision in the U.S. • Oversee the supervision and delegated supervision process for the Global Equities & Derivatives Sales & Trading (GED), Prime Brokerage, Investment Banking, Fixed Income, Currency & Commodities (FICC), Global Business Payments, and Treasury businesses.• Serve as the primary liaison between the Internal Control team and the Business, Compliance and Legal teams, providing real-time advice to Scotiabank U.S. employees regarding relevant internal policies and external rules and regulations.• Facilitate the development and implementation of controls required for proper and effective supervision across all businesses/desks for U.S. Global Banking & Markets. • Work with front office supervisors, First Line Supervision Support (1B), COOs, CAO, Operational Risk Management and other control functions to further develop and enhance supervisory tools and oversight.• Liaise with technology to design, manage, and coordinate technology enhancements of the firm’s WSP retention and supervisory checklist system.

Toronto, Ontario, Ca

• Provide delegated business supervision, operational risk oversight and support to Global Equities & Derivatives Sales & Trading, including Equities Senior Management, sales persons, traders, functions support staff and technology.• Attend weekly Equities Senior Management meetings concerning status of current business activities and initiatives and discussion on current events in the U.S. and Latin American markets.• Perform Compliance Risk & Control Assessment (“CRCA”) in conjunction with Compliance and the front office as part of the firm’s “Enterprise Regulatory Compliance Management Program” (“ERCM”); a regulatory risk management framework that facilitates the firm’s risk assessment and testing obligations.• Facilitate the Risk & Control Self-Assessment (“RCSA”) process with the front office.• Write Operational Risk Incident (“ORI”) Reports in conjunction with the Operational Risk team.• Perform due diligence and risk assessments for new business initiatives and activities concerning the Equities business.• Work with Vendor Management Team concerning risk assessments and due diligence with respect to on-boarding of new Third Party Vendors.• Provide guidance and support to Equities business concerning internal audits and regulatory inquiries and examinations.• Perform a gap analysis of the firm’s Written Supervisory Procedures (WSPs) and other Policies & Procedures to update and enhance them in accordance with U.S. Rules and Regulations.• Conduct a review and gap analysis of the firm’s Trading and Market Conduct Surveillance program to enhance surveillance exceptions and make any necessary improvements to overall surveillance program.• Provide guidance with respect to the firm’s Best Execution and SEC Market Access Rule obligations, including but not limited to; updating of Policies & Procedures and creation of Committees and Committee mandates concerning reviews, controls, and testing in accordance with such Rules.

Zurich, Ch

• Provided senior compliance advisory coverage to Institutional Equities Cash Sales and Trading Desks with a focus on the following areas: Cash Sales and Trading, Program Trading, ETFs and NYSE Floor activities• Interacted with sales and trading staff, senior business executives and management on real-time issues to ensure that trading practices remain compliant with existing regulatory requirements• Worked globally with overseas foreign affiliates on cross-border issues to provide clear and concise guidance to business partners and business management• Corresponded with regulators advocating firm views, and discussing industry practices and current developments• Assisted Compliance Risk Management Team with Desk examinations and testing; worked with Compliance Examinations and Inquiries Teams on regulatory examinations and responding to regulatory inquiries pertaining to sales and trading matters• Provided guidance to the firm’s Compliance Surveillance Team with respect to development of new surveillance exception reports• Managed implementation of new regulatory initiatives, developed and created written policies and procedures to ensure compliance with applicable Federal and SRO regulations and communicated regulatory requirements to front office, including training and compliance bulletins• Supervised and mentored two compliance advisory staff members

Paris, Fr

• Provided senior compliance advisory coverage as referenced above to Institutional Equities Sales and Trading Desks, with a focus on the following areas: Cash Sales and Trading, Program Trading, Electronic Algorithms and DMA, Listed Options, NYSE Floor activities• Corresponded with regulators on a regular basis, acting as liaison between the firm and the regulatory community• Participated in and led projects partnering with Trading staff and IT to further develop and enhance risk controls of the Equities Trading Platform including system development and testing• Provided compliance advice to the Market Access and Best Execution Committees• Provided compliance guidance to the Client Commission Arrangement (“Softdollar”) business and Softdollar operations team• Member of SIFMA Listed Options Committee and SIFMA Market Access Committee

New York, New York, Us

• Responded to regulatory inquiries from regulatory organizations such as FINRA, SEC, CBOE, ISE, and BOX., via oral and written response concerning matters including, but not limited to; insider trading, anticipatory hedging, options positions limits, trading ahead of customer orders, front running of research and various other regulatory matters• Developed relationships with regulatory organization staff and advocated good faith efforts on behalf of the firm to comply with applicable rules• Followed up with business and technology teams to verify that corrective actions described in correspondence with the regulators were actioned upon and completed

New York, Ny, Us

• Responded to regulatory inquiries from regulatory organizations such as FINRA, SEC, CBOE, ISE, and BOX., via oral and written response concerning matters including, but not limited to; insider trading, anticipatory hedging, options positions limits, trading ahead of customer orders, front running of research and various other regulatory matters• Developed relationships with regulatory organization staff and advocated good faith efforts on behalf of the firm to comply with applicable rules• Followed up with business and technology teams to verify that corrective actions described in correspondence with the regulators were actioned upon and completed

Washington, District Of Columbia, Us

• Performed Examinations of NASD member firms to determine compliance with various Rules and Regulations• Wrote examinations summaries and conducted examination kick-off and close-out meetings• Corresponded with member firms concerning exceptions on their financial FOCUS filings