Senior Analyst, Compliance Quality Assurance

1 week ago

Toronto, Ontario, Canada Scotiabank Full time

Requisition ID: 201187

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

Purpose:

The Compliance Quality Assurance Review (QAR) function is responsible for independently assessing the consistent and accurate application of the Bank's Regulatory Compliance Management frameworks, policies, guidelines, and operating procedures by Compliance Functions globally. Assessment results are used to support the Chief Compliance Officer's opinion to the Board of Directors on the effectiveness of the Bank's Compliance Framework and to improve efficiencies across Global Compliance and AML.

Reporting to the Senior Manager, Quality Assurance and Effectiveness, the Compliance Quality Assurance Senior Analyst will be responsible for carrying out quality assurance review activities to assess the design and operating effectiveness of our internal Compliance processes and programs globally. The incumbent will also provide value added support to our internal stakeholders by making recommendations which contribute to the overall enhancement of our global compliance programs and processes.

Key Accountabilities:

Execute QAR test scripts for each of the 8 Pillars of Compliance of the Bank's Regulatory Compliance Management Framework Execute QAR test scripts for Integration of Pillars and the Enterprise Program test scripts Understand enterprise and local compliance operations and processes as they relate to the Bank's Regulatory Compliance Management Framework Perform and document process and control walkthroughs and detailed sample testing for assigned areas and/or engagements Evaluate the design and operating effectiveness of enterprise compliance and local compliance programs, processes, and controls vis-à-vis Regulatory Compliance Management Framework requirements Ensure working paper files are documented on time and according to established QAR documentation standards. Ensure QAR results are analyzed, key themes are highlighted, root causes are identified, and impact is assessed Document QAR issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution. Execute assigned QAR activities within pre-set timelines and budget restrictions Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk. Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge

Reporting/Communication:

Ensure QAR engagement reports are written in a clear, consistent standard of quality and are finalized within established timelines Record QAR findings in Issues Management tracking database and perform timely monitoring and validation testing of management action plans. Assist with preparation of periodic status updates and reporting packages to be presented to business, senior management, regulatory bodies, oversight committees, and other stakeholder groups, as needed. Maintain effective communication with team members and compliance stakeholders throughout the QAR engagement planning, execution, and validation testing process

Special Projects & Other:

Conduct effective challenge of Compliance self-assessment activities and reports, as needed Continuously challenge and enhance current QAR methodologies and practices to improve program efficiencies Provide value added consulting/advisory services to enterprise and local compliance functions and/or projects, as needed. Assist with monitoring and impact analysis of ongoing Global Compliance program and project changes. Carry out special QAR assignments and/or activities as needed.

Functional Competencies:

Strong communication skills with ability to write clearly and concisely. Strong analytical skills with ability to understand various operations and assess the effectiveness of processes and controls. Ability to apply professional judgement, supported by appropriate analysis. Knowledge of the financial sector including perspective on the regulatory and landscape. Attention to details with an ability to problem-solve and multi-task. Working knowledge of data analytics tools (Excel, Power BI, Tableau, SQL, SAS etc.) Work effectively in a group environment and manage cross-functional relationships. Ability to work in an environment of deadlines, ambiguity and rapid change and develop approaches to conduct QARs in these environments.

Education/Experience:

Post secondary degree in Business or pursuing an education in a related field A minimum of 2 years direct relevant experience in a QA function, audit, compliance or risk management function of a matrix organization, preferably within the financial services industry. Experience in Compliance, Audit, risk assessment, testing, and internal control assessment methodologies Professional accounting, legal, or business designation an asset (e.g., CPA, CA) Bilingual in Spanish would be an asset

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