Audit Manager, Global Wealth

2 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 208083

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

**Purpose**

Contributes to the overall success of the Global Wealth and Insurance Audit Department globally ensuring specific individual goals, plans, 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**
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Evaluate the design and operation of internal controls on assigned projects within the Global Wealth Management & Insurance audit universe.

AUDIT PLANNING:

- Manage the planning of audits or assigned areas of low to moderate complexity, ensuring scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, procedures are efficient, appropriate resources are assigned and risk understood.
- Develop a thorough understanding of the business, risks and processes for assigned projects.
- Develop and/or update Audit Project Outline (APOs) and Detailed Audit Programs (DAPs) including data analytics, as required.
- Identify strategic changes planned / undertaken by the auditee that will impact the Audit Plan and corresponding risk assessment.

AUDITING & EXECUTION:

- Determine the efficiency, effectiveness, integrity and reliability of internal controls in relation to defined control requirements by conducting the audit of assigned processes / units / projects.
- Execute and manage assigned activities independently in accordance with the Department Standards ensuring the nature and extent of testing is sufficient and appropriate to support the audit opinion.
- When Officer-In-Charge, co-ordinate and manage resources to achieve appropriate risk-based coverage of the assigned area.
- Document / review all audit work performed using TeamMate (audit software) to ensure appropriate working papers are maintained and conform to department standards.

PROBLEM IDENTIFICATION:

- Identify and assess materiality of control weaknesses ensuring facts are gathered and their full meaning is understood for moderate to highly complex projects.
- Identify underlying causes of control weaknesses and provide practical recommendations as to how they can be mitigated.
- Prepare and/or review audit findings from other participants for presentation to line management.
- Follow-up on assigned issues in the Issue Tracking Database for timely resolution.

REPORTING/COMMUNICATION:

- Draft audit findings, reports and correspondence to management, ensuring writing is clear, concise and accurate.
- When OIC, review and edit reporting from other audit team members.
- Develop and maintain effective client relationships with key auditee and business line management.
- Provide input to Quarterly and Annual Audit reports.
- 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 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.
- Champions a high performance environment and contributes to an inclusive work environment.

**Education / Experience / Other Information**
- University Degree
- A minimum of 3-5 years internal / external audit experience
- Business line knowledge/experience relating to Brokerages, Trust, Private Banking, Portfolio Management, Wealth Operations and Insurance, including regulatory compliance, risk management, and investment management.
- Accounting Designation (CPA)
- Industry Certifications such as CFA, CIM, CISA, CAMS or CFP would be an asset
- Spanish language capability would be an asset
- Thorough knowledge of MS Word, Excel, audit software tools and data analytics.

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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