Associate Director, Investment Banking

5 days ago

Old Toronto, Canada Scotiabank Full time
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Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world.

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries p>

Purpose:
The Associate Director, First Line Testing CIB will assist GBM Management with the management of non-financial risks in GBM Canada, specifically non-financial risks in Corporate & Investment Banking. The role will assist the Director in the planning and execution of controls to mitigate non-financial risks in GBM.

What You'll Do:

  • Lead the oversight and supervision of GBM staff, including escalating key issues and emerging risks to GBM Internal Control Management as well GBM Management
  • Coordinate with business line partners (Compliance, GWO, Technology, Global Risk Management etc.) to develop, maintain and report management information on non-financial risk information for Senior Management and Core Risk Committee
  • Take lead with the planning and execution of Risk and Control Self Assessments (RCSAs) and Compliance Risk and Control Assessments (CRCA)
  • Assist with the development, maintenance and periodic review of key risk indicators, key performance indicators and metrics to allow for effective management of non-financial risks in CIB and other GBM Canada business lines
  • Perform periodic testing and monitoring of key processes to ensure the design and operating effectiveness of the controls
  • Assist GBM Management with ad-hoc requests and special projects
  • Lead the tracking and remediation of Internal Audit findings, Compliance Testing findings, GBM First Line Testing findings and Regulatory findings
  • Maintain regular communication with GBM stakeholders to determine changes to processes and controls
  • Identify and own the root cause analysis of operational risk events and recommend appropriate action plans
  • Assist Management in the provision of Request for Information related to Internal Audit, Compliance Testing and Regulatory reviews and examination
  • Manage the process of updating and documenting key controls in Open Pages for regulatory obligations library
  • Design, maintain, implement and monitor Written Supervisory Procedures (WSPs) for Front Office employees
  • Support GBM Internal Control – Canada in the development of internal standards, guidelines, and procedures to manage non-financial risks
  • Act as the escalation point for operational risk events including client complaints
  • Ensure the GBM Operational Risk Management Framework is upheld and that the associated processes, including generating and reporting key metrics for discussion at Senior Management Operational Risk Committee meetings, reflect the key principles of the Framework
  • Support the GBMIC – Canada team in preparing for regulatory reviews and requests. This will include working with GBM Management, Compliance, Legal, Finance, Technology and GRM in determining the adequacy of information to be provided. li>
  • Lead the development and execution of GBM policies and standards for Investment Banking, ECM, DCM and Corporate Banking
  • Support the VP to execute the group's mandate in assisting and supporting Corporate & Investment Banking, Equity Capital Markets (ECM) and Debt Capital Markets (DCM) in the effective management of operational risks inherent in the businesses, including regulatory obligations and risks
  • Lead recruitment efforts, oversee talent acquisition, and provide comprehensive training and coaching to foster professional development within the team

What You'll Bring:

  • Bachelor's degree in finance or relevant education background
  • Completion of the CFA or MBA would be an asset
  • Good working knowledge of capital market business
  • Good knowledge of internal controls
  • The incumbent is expected to maintain an in-depth knowledge of operational conditions in Corporate and Investment Banking and the state of regulatory matters, be able to resolve issues of non-compliance and to escalate issues promptly that are deemed to be serious, or have broad impact
  • Bilingual in French/Spanish would be an asset

Work Arrangement:
This position is currently a hybrid role, with the expectation that you will work at least 3 days a week in the office. That's why we work to grow and diversify talent and engage employees in a performance-oriented culture.

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