Manager, Compliance Quality Assurance

1 month ago

Old Toronto Ontario, CA Scotiabank Full time

Requisition ID: 204388

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.

Reporting to the Senior Manager, Compliance Quality Assurance, the Compliance QAR Manager will be responsible for carrying out quality assurance review activities in order 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 review procedures for each of the 8 Pillars of Compliance of the Bank’s Regulatory Compliance Management Framework.
  • Understand enterprise and local compliance operations and processes as they relate to the Bank’s Regulatory Compliance Management Framework.
  • Assist in the development and documentation of the annual risk-based QAR Plan.
  • Update engagement planning documents as required, ensuring engagement scope and objectives are defined and QA procedures are appropriate and efficient.
  • 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.
  • Validate self-identified, internal audit and regulatory exam issues, to verify root cause(s) are addressed.
  • Execute assigned QAR activities within pre-set timelines and budget restrictions.
  • Actively pursue 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.
  • Champion 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 Global Issues Management System 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.

Professional Development:

  • Comply with department established HR Management policies and procedures.
  • Establish business goals, development plans, and performance self-assessments, monitoring for achievement/completion throughout the year.
  • Manage self-development by confirming job expectations, assessing progress, identifying mentors/coaches, and enquiring about training needs throughout the year.

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 landscape.
  • Attention to details with an ability to problem-solve and multi-task.
  • Working knowledge of data analytics tools preferred (Excel, Power BI, Tableau, SQL, SAS etc.).
  • Work effectively in a group environment and individually to manage cross-functional relationships.
  • Ability to work in an environment with competing deadlines, ambiguity, rapid change and develop approaches to conduct QARs in these environments.

Education/Experience:

  • University/Post secondary degree in Business, Accounting, Economics, Law etc.
  • A minimum of 5 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 would be an asset (e.g., CPA, CA, CIA, CAMS etc.).
  • Bilingual in Spanish would be an asset.

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.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.

#J-18808-Ljbffr

  • Manager, Compliance Quality Assurance

    1 month ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Title: Manager, Compliance Quality Assurance Requisition ID: 204388 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...

  • Manager, Compliance Quality Assurance

    1 month ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Title: Manager, Compliance Quality AssuranceRequisition ID: 204388Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.PurposeThe Compliance Quality Assurance Review (QAR) function is responsible for independently assessing the consistent and accurate application of the Bank’s Regulatory Compliance...

  • Quality Assurance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Give and Go Prepared Foods Full time

    It’s an exciting time to be part of Give & Go!We’re currently hiring for a Quality Assurance Manager.Reporting to the Sr Manufacturing Quality Manager, you’ll be responsible for the plant quality strategy, quality targets and the identification and elimination of quality and food safety issues and problems helping ensure that processes, procedures and...

  • Quality Assurance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Aerotime Full time

    ABOUT FL TECHNICS:FL Technics is a global provider of tailor-made services for aircraft maintenance, repair, and overhaul (MRO), delivering solutions to commercial aviation customers worldwide. FL Technics is operating in a vast network of representative offices, hangars, and shop facilities, as well as largest independent line maintenance stations network...

  • Senior Manager, Corporate Quality Assurance

    1 month ago

    Old Toronto, Ontario, CA Mondelez España Galletas Production SLU Full time

    Senior Manager, Corporate Quality AssuranceAre You Ready to Make It Happen at Mondelēz International?Join our Mission to Lead the Future of Snacking. Make It With Pride.You manage technical and scientific professionals responsible for initiation and execution of programs. This is a leadership role in cross-functional teams and regularly interacts with RDQ...

  • Quality Assurance Supervisor

    4 weeks ago

    Old Toronto, Ontario, CA IKO Global Full time

    IKO Industries Ltd. is a market leader in the manufacturing of roofing and building materials. IKO is a Canadian owned and operated business with production facilities worldwide and has many years of unparalleled success in the roofing materials industry. Quality, integrity, and trustworthiness are the values that underlie this success, and we have built...

  • Senior Manager, Corporate Quality Assurance

    4 weeks ago

    Old Toronto, Ontario, CA Mondelez International Full time

    Senior Manager, Corporate Quality AssuranceAre You Ready to Make It Happen at Mondelēz International?Join our Mission to Lead the Future of Snacking. Make It With Pride.You manage technical and scientific professionals responsible for initiation and execution of programs. This is a leadership role in cross-functional teams and regularly interacts with RDQ...

  • Senior Manager, Quality Assurance Canada

    1 month ago

    Old Toronto, Ontario, CA Biogen Full time

    Senior Manager, Quality Assurance CanadaFull-timeRegion: EU+/CanadaDepartment: QualityJob PurposeThe Senior Manager, Quality Assurance acts as the Quality Manager for the Canada Affiliate, who is responsible for compliance with the applicable technical and regulatory requirements related to the quality of imported pharmaceuticals and biologic finished...

  • Quality Control Specialist II

    4 weeks ago

    Old Toronto, Ontario, CA BlueRock Therapeutics Full time

    The Quality Control (QC) Specialist II – Compliance will provide support for a wide variety of QC Compliance requirements for the laboratory activities facilitating testing of cell-based therapeutics destined for human clinical trials. The QC Specialist II will be one of the key contributors in driving all aspects of the QC laboratory compliance through...

  • Quality Control Specialist II

    4 weeks ago

    Old Toronto, Ontario, CA BlueRock Therapeutics Full time

    The Quality Control (QC) Specialist II – Compliance will provide support for a wide variety of QC Compliance requirements for the laboratory activities facilitating testing of cell-based therapeutics destined for human clinical trials. The QC Specialist II will be one of the key contributors in driving all aspects of the QC laboratory compliance through...

  • Quality Assurance Analyst

    4 weeks ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Requisition ID: 203213 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Contributes to the overall success of Commerce Engineering in Canada ensuring specific individual goals, plans, initiatives are executed/delivered in support of the team’s business strategies and objectives. Ensures all activities...

  • Quality Assurance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Score Media and Gaming Inc. Full time

    As a QA Manager, you will work closely with teams of friendly, dedicated and smart individuals across various departments, such as Product Management, Design, Engineering, Release Management, DevOps, IT, Marketing and Customer Support to understand the product vision and ensure our mobile and web applications and backend services meet and exceed the highest...

  • Quality Assurance Analyst

    4 weeks ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Title: Quality Assurance AnalystRequisition ID: 203213Join a purpose-driven winning team, committed to results, in an inclusive and high-performing culture.Is this role right for you? In this role you will:Perform testing for assigned projects by reviewing project documentation, preparing test documentation, and executing test activities for multiple,...

  • Nuclear Construction Compliance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Bantrel Co Full time

    Bantrel is proud to be a leading provider of Engineering, Procurement, Construction and Construction Management (EPC / EPCM) services in Canada.For 40 years we have delivered end-to-end solutions for some of Canada’s most challenging and complex energy, mining, infrastructure and nuclear projects, with an unrelenting focus on safety and quality. Bantrel...

  • Business Analyst/Quality Assurance Specialist

    4 weeks ago

    Old Toronto, Ontario, CA LAWPRO Full time

    Business Analyst/Quality Assurance SpecialistReports to: Manager, Development and InnovationDepartment/Division: Information SystemsEmployment type: PermanentLocation: Toronto, OntarioJob DescriptionSeeking a versatile Business Analyst and Quality Assurance Specialist with a strong background in SaaS products and vendor management. This role requires...

  • Quality Assurance Specialist

    4 weeks ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Join a purpose-driven winning team, committed to results, in an inclusive and high-performing culture.The TeamGlobal Finance & Risk Technology (GFRT) Quality Assurance is responsible for testing the applications in GFRT. We assess the quality and risk of any changes/enhancements to the applications under GFRT, including but not limited to Finance, Risk, and...

  • Compliance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Yamaha Motor Canada Full time

    Title: Compliance Manager Status: Full Time Department: YMFC-CA Reports to: Managing Counsel & Chief Compliance Officer Location: Toronto Summary of Responsibilities Assist the YMFC (Yamaha Motor Finance Corporation) North America Chief Compliance Officer in the development and ongoing management of the YMFC-CA (Yamaha Motor Finance Corporation Canada)...

  • Compliance Manager

    4 weeks ago

    Old Toronto, Ontario, CA Yamaha Motor Canada Ltd. Full time

    Assist the YMFC (Yamaha Motor Finance Corporation) North America Chief Compliance Officer in the development and ongoing management of the YMFC-CA (Yamaha Motor Finance Corporation Canada) compliance management program.Key Duties & ResponsibilitiesPrimary duties include the operationalization of applicable legal/regulatory requirements through partnering...

  • Quality Assurance Specialist

    4 weeks ago

    Old Toronto, Ontario, CA Scotiabank Full time

    Requisition ID: 204537Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.The TeamGlobal Finance & Risk Technology (GFRT) Quality Assurance is responsible for testing the applications in GFRT. We assess the quality and risk of any changes/enhancements to the applications under GFRT, including but not limited...

  • Quality Assurance Technician

    4 weeks ago

    Old Toronto, Ontario, CA Foamparts Full time

    DefinitionInspects and tests incoming parts from supply chain companies and internally produced components to meet the quality standards and systems required. Assist /support the Quality Department by providing Quality expertise to resolve Quality issues within the production operation. Ensure that the product meets customer’s requirements (both internal...