Manager, Monitoring and Testing

6 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 176446

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

**Purpose**

Support the execution of monitoring and testing activities related to operational, regulatory, and compliance risks within Global Wealth Management (GWM).
This individual supports the first-line testing and monitoring activities across several business and functional units within GWM including risk assessments to ensure the adequacy of controls, processes and protocols to mitigate regulatory and operational risks (including legal, securities, tax) and risks of financial loss, regulatory fines, penalties or sanctions, litigation and reputational damage to wealth units and identify areas of opportunity to strengthen the control environment and control activities.

**Accountabilities**
- Develop expert understanding of Global Wealth business units (brokerages, asset management, estates and trust, private banking, mutual fund dealers, and International Wealth Management), including operational processes, regulatory obligations and risk governance
- Support the development of the annual monitoring and testing plan
- Support the execution of the annual monitoring and testing plan in accordance with methodologies, enterprise requirements and standards
- Support the Electronic Communications monitoring program within Global Wealth Management
- Analyze data, alerts and results of monitoring, assessments and inventories to identify potential gaps, patterns and trends
- Support ad-hoc, special and/or focused reviews as necessary, as well as other duties and projects as assigned
- Responsible for pre-work to facilitate mínimal business disruption to the business (e.g., reviewing available documentation to support the creation of test scripts)
- Communicate testing results with internal RCSA and CRCA stakeholders on the effectiveness of controls identified through those programs. Share “best in class” controls identified through testing and monitoring activities that could be leveraged by other business and functional areas
- Maintain comprehensive reporting on findings, with actionable recommendations and insightful analysis and commentary
- Responsible for ensuring open issues resulting from monitoring and testing plans are tracked to completion
- Develops and fosters relationships with stakeholders/control functions and business partners for the purposes of creating an integration risk framework and enhancing business line effectiveness
- Champions a customer-focused culture and leverages broader Bank relationships, systems, and knowledge
- Ensures individual and team goal plans are aligned with the overall strategies and objectives on Global Wealth Management Internal Controls, GWM and the Bank
- Persists in enhancing the program with an objective of continuous improvement
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions
- Actively 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 Code of Conduct

**Education / Experiences**
- Bilingual (ENG/FRE) is an asset
- Power BI experience is preferred
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions
- Strong understanding of the GWM business units, products, services, operations, systems and practices
- University degree, preferably in Finance, Commerce or Business Administration with 5+ years of experience in financial services
- Knowledge of quality assurance and control testing processes
- Strong verbal and writing communication skills
- Strong knowledge of Scotiabank’s regulatory programs, regulations, and internal frameworks and policies impacting banking operations
- Ability to develop strong working relationships with numerous cross functional support areas and business line executives
- Proven track record to successfully manage multiple and competing priorities

Location(s): Canada : Ontario : Toronto || Canada : Alberta : Calgary || Canada : Alberta : Edmonton || Canada : British Columbia : Vancouver

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.

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