Monitoring and Testing Officer

1 week ago

Toronto, Ontario, Canada Scotiabank Full time
Requisition ID: 191692

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


As a Monitoring and Testing Officer, you will execute planned testing activities to evaluate the adequacy, adherence and effectiveness of controls related to Operational, Regulatory, AML/ATF & Sanctions, and Compliance Risks across Wealth Management, and ensure they are conducted in compliance with governing regulations, internal policies, and enterprise procedures.


Is this role right for you? In this role you will:

  • Conduct testing of key, high-risk regulatory and operational controls, by reviewing assigned business, branch and/or operational units
  • Collaborate with peers and managers to analyze, define, and translate risk and businessline specifics into testing requirements
  • Work independently to execute on planned testing activities, in accordance with testing scripts and relevant policies/procedures
  • Sample client accounts and transactions, reviewing related processes and reconcile associated businessline metrics and key risk indicators to determine compliance
  • Prepare reports on test/review findings and communicate to appropriate business units and partners, as well as ensure investigation and correction of any control defects brought forward are in place
  • Concisely and accurately record test/review results in the Wealth Management's integrated testing platform
  • Identify trends, gaps and opportunities and escalate to management as necessary
  • Assist management in keeping highrisk regulatory and operational controls current, along with other documentation, including handbooks, Standard Operating Procedures (SOPs), test plans, methodology, schedules, and reporting
  • Provide onsite coaching to management, collaborating with them to develop corrective action by ensuring dialogue is open and honest throughout the regular review process
  • Perform adhoc, unique and/or focused reviews as necessary, and other testing duties and projects as assigned
  • Participate in/host presentations with business lines/branches as required
  • Develop and maintain strong knowledge of, and relationship with, Wealth Management Business Lines, Wealth Management Operations, and various internal or external partners

The Must Haves:

  • 3+ years of experience in the financial services industry, specifically within Wealth Management
  • Postsecondary education, preferably in Business Administration, Accounting, or Finance
  • A thorough knowledge of Wealth Management delivery channels, products, benefits, and services
  • Regulatory experience is an asset, including Compliance, Audit, Operational Risk, Third Party Risk, and Legal
  • Working knowledge of regulatory bodies including OSFI, OSC, and CIRO

Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:

  • Strong attention to detail
  • Exceptional planning and analytical skills with an ability to focus on critical issues
  • Excellent verbal and written communication skills
  • An ability to develop strong working relationships with partners/stakeholders, and influence change with numerous, crossfunctional teams
  • High motivation and a demonstrated ability to multitask and deliver in a fastpaced, challenging, and dynamic business environment
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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