Manager, Compliance Audit

1 week ago

Toronto, Ontario, Canada Scotiabank Full time
Requisition ID: 182674

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.


The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank.

Its mandate is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and to provide advisory services designed to improve the Bank's operations.


You will be working as part of the Global Compliance Audit Team and be responsible for executing Compliance (non-AML) related audits.

You will work with the Senior Manager and Director to execute Compliance audits to assess the design and operational effectiveness of internal controls, adherence to regulatory requirements and Bank policies, and the efficiency and effectiveness of operations of the Compliance function.

You will assist in all aspects of the audit, including the planning, execution, and reporting phases. The Manager will also be involved in internal and external issue validation, as well as audit continuous monitoring activities.

Is this role right for you?

  • Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
  • Identify systemic and emerging issues and strategic changes planned/undertaken by the auditees that will impact the audit plan, including review of business/strategic plans, review and update the Risk Assessment database for entities assigned, attend periodic meetings with key management officers to understand changes and new business initiatives, and review key performance indicators
  • Maintain a thorough understanding of the business, risks, and processes for assigned areas and provide effective guidance to the audit teams
  • Manage appropriately the prioritization of testing activities using a riskbased approach to ensure scope and extent of work is in accordance with the approved plan, timing, and budget are reasonable, appropriate resources are assigned, risks are understood, and the nature and extend of testing is adequate to support the audit findings and conclusions
  • Ensure internal control weaknesses are identified, errors are quantified as applicable, associated impact is defined, documented, and reported, the identified issues are clearly understood, and the appropriate actions are taken by management
  • Ensure audit reports are written to a consistent high standard of quality and are finalized/released within established metrics
  • Ensure audit findings are adequately documented in the Audit Issues Tracking Database
  • Ensure Teammate working paper files are reviewed timely and the audit work is documented according to the established standards
  • Maintain effective communication with stakeholders including appropriate handling of conflicts and issue resolution

Do you have the skills you need to succeed? We'd love to work with you, if you have:

  • At least five (5) years in Internal Audit, Compliance, consulting, or Regulatory body
  • Excellent knowledge of Compliance (nonAML) laws, regulations (CFTC and NFA requirements for Swap Dealers, OSFI Guidelines on Regulatory Compliance), and regulatory expectations
  • Knowledge of auditing concepts and techniques, capital markets business and products
  • Welldeveloped judgment, time management, decisionmaking, and problemsolving skills
  • Strong written and verbal communication skills
  • Expert time management skills with the ability to take on multiple projects at one time
  • Excellent work paper documentation skills (i.e., thorough/detailoriented)
  • The ability to work independently and within a team environment
  • Highly proficient use of Word, Excel, and Powerpoint
Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas

Guided by our purpose:
"for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

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