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Senior Manager, Regulatory Operations, Controls Governance

2 months ago

Canada, CA Scotiabank Full time

Requisition ID: #

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

Purpose:

As a Senior Manager, Regulatory Operations, Controls Governance and Reporting Controls, you will contribute to the overall success of Global Regulatory Operations and Internal Controls (GROIC) by providing leadership and oversight of Scotiabank’s U.S. Foreign Account Tax Compliance Act (FATCA), Qualified Intermediary (QI) and Common Reporting Standard (CRS) across all business lines and jurisdictions. The role will involve managing multiple workstreams for the development, delivery, and maintenance of the aforementioned regulatory programs to ensure alignment with policies, regulatory mandates, and operational efficiency.

In addition, this role is also responsible for overseeing the execution for a Regulatory Operations & Controls (ROC) Fulfillment team that supports Canadian Banking’s FATCA and CRS regulatory activities related to the due diligence and documentation of customers ensuring all activities are conducted in compliance within governing regulations, internal policies and procedures.

Is this role right for you? In this role, you will:
  1. Contribute to the success of the Regulatory Operations & Controls Department by executing individual goals and initiatives supporting the team’s business strategies.
  2. Align day-to-day activities with the Bank’s risk culture, risk appetite statement, and limits.
  3. Communicate the Bank’s risk culture and appetite statement throughout the teams.
  4. Actively ensure efficient operations, adhering to day-to-day business controls for operational and regulatory compliance.
  5. Lead, initiate and/or actively participate in the various initiatives/project from requirements through to implementation and sustainment.
  6. Lead and drive a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  7. Lead the recruitment, management, and development of team members, fostering a culture of excellence, positively impacting team dynamics, and ensuring overall operational success.
  8. Prepare and create metrics dashboards on a monthly basis and report to management. This also includes gathering, analyzing, and interpreting data trends or patterns to support enhancement to business processes and service levels, system requirements and to identify gaps and opportunities to improve operations.
  9. Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  10. Participate in defining the team business strategy and commit to personal professional development.
  11. Create an environment in which their team 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.
  12. Build a high-performance environment and implement a people strategy that attracts, retains, develops, and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviors; communicating vision/values/business strategy; and managing succession and development planning for the team.
Program Governance & Oversight:
  1. Manage key controls for regulatory compliance, leading the development of a robust framework for FATCA, CRS, and QI programs, aligned with regulatory requirements and industry best practices.
  2. Ensure compliance and effectiveness through proactive risk management, control measures, and governance initiatives. Monitor global regulatory shifts, conduct gap analyses, and collaborate with stakeholders to manage regulatory changes.
  3. Develop and implement the Enterprise Regulatory Compliance Management (eRCM) program by reviewing regulatory obligations, mapping relevant regulations to the appropriate business lines and countries, and working with stakeholders to identify relevant controls to address regulatory obligations.
  4. Support 1A/1B/2A stakeholders in the Compliance Risk and Control Assessment (CRCA) by leading the program level guidance assessments for the Tax Programs (FATCA, QI & CRS). Additionally, support ROC as an internal controls function under Global Operations in managing CRCAs for Global Fraud, Canada Collections, Contact Centres, Operations & Corporate Services (Escalated Customer Concerns Office or ECHO) - 2nd level in the bank's internal complaint resolution process.
  5. Develop and implement robust enterprise strategic plans, change management strategies, and enterprise frameworks.
  6. Share updates through impactful memos, handle executive dashboards, provide regular program updates, and present key insights on controls, testing, and issues to keep stakeholders well-informed.
  7. Manage the creation, implementation, and upkeep of enterprise documentation, including policies, procedures, training materials, risk assessments, regulatory obligations, and controls mapping.
  8. Implement end-to-end processes to enhance transparency, track program progress, and escalate critical matters to senior management. Lead in-depth analysis, interpretation, and documentation of regulations and business rules.
  9. Collaborate with government agencies, consulting firms, and industry peers to advocate for Scotiabank’s regulatory position during the introduction or modification of guidelines.
FATCA & CRS Governance:
  1. Monitor, review and interpret updates to FATCA & CRS regulations/guidance published by regulators as well as news and industry sites and determine impact to Scotiabank’s existing documentation and due diligence process.
  2. Liaise with local regulators including the Canada Revenue Agency and Ministry of Finance to champion Scotiabank’s regulatory position when new/changes to existing guidance are tabled.
  3. Liaise with industry groups on regulatory guidance to ensure that Scotiabank’s regulatory position is on par with other FIs.
  4. Provide Business Lines with gap analysis when revised regulations/guidance is released by local regulators.
  5. Develop and maintain relationships with Business Lines and provide direction and oversight to the Enterprise’s Business Lines on the implementation of revised regulations.
  6. Provide expert knowledge and guidance to Business Lines, IT&S and team members to ensure implementation of revised guidance/guidelines meets regulatory requirements including design, development and implementation of support documentation.
  7. Monitor completion of milestones; escalate issues and risks as they arise and propose action/mitigation plans if applicable.
  8. Review, prepare and coordinate executive dashboards and program status updates against milestones on both a scheduled and ad hoc basis, as assigned.
  9. Oversee and provide subject matter expertise on the design and delivery of the Enterprise FATCA & CRS training program.
QI Governance & Sustainment:
  1. Implement, monitor and enhance the QI regulatory operating model.
  2. Develop and implement regulatory compliance programs/processes to achieve balance between operational efficiency and regulatory compliance.
  3. Build and develop key controls around Documentation, Withholding, and Reporting.
  4. Periodic certification of internal controls to the IRS.
  5. Oversee and provide subject matter expertise on the design and delivery of the Enterprise QI training program.
  6. Review and address immediate operational challenges, including working with key stakeholders in the first and second line to develop end to end processes, provide transparency and track program progress. Proactively identify, escalate and address gaps in regulatory onboarding counterparty process and data sets.
FATCA & CRS Fulfillment:
  1. Provide oversight and leadership to processes and procedures related to daily case management of FATCA and CRS cases.
  2. Manage the creation and maintenance of Standard Operating Procedures (SOP’s) to support due diligence and documentation activities related to verification/fulfillment of Canadian Banking customers.
  3. Strategize, plan and implement process/improvement related tasks within the team/department.
  4. Ensure execution of controls to monitor for accuracy and adherence to policy of cases closed by the Fulfillment Team.
  5. Conduct gap assessment to identify opportunities to improve processes.
  6. Champion the implementation of process efficiencies to address procedural redundancy and minimize compliance risk.
  7. Effectively manage escalations to ensure quick resolution and minimal delays.
Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:
  1. University degree with a minimum of 7 years in the financial services industry, including experience with regulatory programs.
  2. Expert knowledge of FATCA, QI & CRS regulatory requirements and compliance.
  3. Demonstrated ability in leading teams and managing people.
  4. Strong knowledge of banking, operational risk, regulatory risk, compliance and regulatory requirements and internal control principles.
  5. Maintains awareness of and actively engages in activities across all business lines. Understands regulatory perspective on risk.
  6. High standards of performance, confidentiality, integrity, timelines, and efficiency must be always maintained.

Work Arrangement: This position is currently a Hybrid role. Please note that this is subject to change based on the needs of the business.

Interested? At Scotiabank, every employee is empowered to reach their fullest potential.

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