Manager, Policy Advisory

3 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 160091

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

**Purpose**

The Manager, Policy Advisor is responsible for 2nd Line oversight of Global Banking and Markets (“GBM”) Know Your Client (“KYC”) / Due Diligence activities to ensure business strategies, plans and initiatives are executed / delivered in accordance with governing Anti-Money Laundering/Anti-Terrorism Financing (“AML/ATF”) regulations as well as internal policies and procedures. The manager is required to provide effective challenge by the 2nd line of defense. This role will work with stakeholders from all three lines of defense, including GBM business units across various jurisidictions, 1A Client Onboarding, 1B Regulatory Operations and Controls, Global AML/ATF Program Office and Financial Intelligence Units (“FIU”).

**Accountabilities**

**AML Regulations and Guidance**
Possess and continuously develop in-depth knowledge of:

- Enterprise-Wide AML/ATF and Sanctions Policies/Standards, and related Frequently Asked Questions (“FAQ”).
- GBM FCRM Standards and related FAQs.
- AML/ATF and Sanctions Regulatory Compliance Management (“RCM”) Program.
- Bank Secrecy Act, PATRIOT Act, Proceeds of Crime Money Laundering and Terrorist Financing Act, Proceeds of Crime Money Laundering and Terrorist Financing Regulations and other key regulations, including monitoring, review and understanding of new obligations, regulations.
- Guidance documents issued by Financial Action Task Force, Wolfsberg, Loan Syndications & Trading Association, etc,
- Assist with the uniform implementation of Enterprise and Global GBM Policies and Standards.

**Advisory**
- Guide the business line in the enhancement of key AML/ATF and Sanctions controls to strengthen defenses.
- Provide guidance and response to queries from various internal business partners relating to complex AML issues; identify unacceptable AML/ATF risk and collaborate with front-line to proactively manage and escalate these situations.
- Review and, where appropriate, recommend further escalation of various high-risk triggers such as Politically Exposed Persons, negative media hits, high-risk geography, and other factors based on identification by the first line.
- Participate in Automatic-High Risk Customer reviews and make recommendations for approval/rejection to the AML Officer.
- Review client exception requests and determine the AML risk acceptable for the bank and make recommendation for approval or denial of each request to the AML Officer.
- Maintain a log of all exception requests and ensure they are escalated or resolved in a timely manner.
- Work with the Global GBM AML Risk Policy Development & Governance to provide guidance and interpretation to business and functional partners.

**Program Enhancements**
- Maintain a thorough and current understanding of the regulatory environment and actively participate in processes both internally and externally to affect change beneficial to the firm.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Perform other duties as directed by the Global GBM AML Risk Policy Development & Governance.

**Education / Experience**
- Three to five years direct experience serving in an AML KYC Advisory role from a 2nd Line perspective.
- Five to seven years of experience in AML/ATF compliance.
- Expert knowledge of the Global Baking and Markets and Banking businesses, products/services, and the clients/markets that Scotiabank GBM serves.
- Minimum Bachelor’s degree in business, related field, or equivalent experience.
- ACAMS certification preferred but not required.
- Excellent written and verbal communication skills.
- Demonstrated leadership skills, maturity, and judgement.
- Ability to influence without direct authority through gaining trust and respect.
- Strong communications, analytical, organizational, project management, and planning skills.
- Expert knowledge of AML/ATF regulatory requirements and expectations.

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.

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