Senior Audit Manager, Compliance

1 day ago

Old Toronto, Canada Scotiabank Full time
Title: Senior Audit Manager, US Audit QAIP - Audit Professional Practice

Requisition ID: 210052

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

Purpose

Contributes to the overall success of the Audit Department globally as part of the global Audit Professional Practice team. Reporting to the Director, QAIP and Audit Compliance, the incumbent is an integral member of the Professional Practice team who manages key components of Audit Quality Assurance and Improvement Program – with a focus on the U.S., ensuring individual goals, plans and initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities

  1. Manages and supports a customer focused culture throughout their work to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  2. Accountable for the effective operation of the Audit Department’s Quality Assurance and Improvement program. The program includes applying expert judgment and expertise to the review and evaluation of all Audit aspects of activities including planning, risk assessment, audit projects, issues, planning and continuous monitoring.
  3. Accountable as part of a global Quality Assurance team to conduct and report all reviews in a consistent manner to give the Chief Auditor assurance of the consistency of audit work and testing globally. Timely and sufficient coverage is required for regulatory compliance.
  4. Ongoing review and identification of issues on Quality Assurance across all audit activities in alignment with the Audit Department’s Quality Assurance and Improvement Program and its strategies; keeping abreast of changes in law, regulations and professional auditing standards; and preparation of guidance and written communications to Audit Department staff.
  5. Contributes to the development and execution of the global Quality Assurance and Improvement plan. Accountable for execution of key area of the plan and enhancements.
  6. Identifying opportunities and leading training for the Audit team members to enhance the efficiency and effectiveness of the global audit function, including in areas of Audit Methodology, and Soft skills that support the audit process.
  7. Accountable for ensuring specific and systemic areas of weakness are identified and remediated through their projects in the Quality Assurance and Improvement program. Objective and impactful feedback is delivered to the Audit team and remediation of gaps is tested. In addition, the role supports Audit teams globally in understanding opportunities for improvement and effective application of the Audit Department’s methodology and standards.
  8. As part of the Audit Professional Practice (APP) team, this role helps to set and reinforce the standards for the Audit Department, methodology, compliance with regulatory requirements and the support of key Audit Department initiatives. Works closely with the Professional Practice team members with a particular focus on the U.S., along with opportunities work with APP members based in Mexico, Peru, Colombia, Chile, Dominican Republic, as well as the Toronto team.
  9. Special Projects: As directed by management, carry out specific projects (including regulatory related) or investigations or act as a project manager. Provide value added consulting/advisory services. Lead special investigations involving frauds, control failures or special needs of the Bank.
  10. Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  11. Creates an environment in which his/her team pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
  12. Builds a high-performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vision/values/business strategy and managing succession and development planning for the team.

Education/Experience

  1. CPA/CA
  2. Strong and direct experience in working with U.S. regulatory issue closure testing and/or direct experience with U.S. compliance work is required.
  3. Experience in a professional practice capacity at another audit firm/function.
  4. Formal training/certification in IIA standards.
  5. Knowledge of industry best practices in Internal Audit methodology.
  6. Undergraduate degree with advanced degree in business or finance an asset/or comparable experience.
  7. 5 to 10 years financial services experience (capital markets experience is an asset).
  8. Training or coaching experience.
  9. Flexible, analytical, focused on results and efficiency and able to work independently.
  10. Ability to communicate, written and oral, effectively to senior levels of management and external regulators.
  11. Working knowledge of Word, Excel, and audit software tools (such as TeamMate) of the Institute of Internal Audit standards.
  12. Excellent understanding of risk assessment and its application.

Location(s): Canada : Ontario : Toronto || United States : New York : New York City

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.

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