Quality Assurance Analyst, Business Acceptance

2 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 199553

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

**Quality Assurance Analyst, Business Acceptance - Canadian Business Banking**

**Purpose**

Reporting to the Manager, Business Acceptance, the QA Analyst is responsible for the accuracy and integrity of the client due diligence process (KYC) including the review of the CPI and all other associated/relevant documentation for new and existing customers at onboarding and client refresh.

The Quality Assurance Analyst operates independently day-to-day within assigned authorities/limits and uses sound judgment in the interpretation of data and instructions, and escalates issues with recommendations as required.

This role contributes to the overall success of Canadian Business Banking’s adherence to Client Due Diligence (CDD), KYC standards and document review in Canadian Business Banking ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives; ensures all activities conducted follow governing regulations, enterprise policies and business procedures.

**Accountabilities**:
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.

Provide an excellent collaboration experience by:

- Taking responsibility for reviewing CPI documentation, thoroughly, promptly and accurately.
- Champions a high-performance environment and contributes to an inclusive work environment.
- Completing KYC refresh documents in line with established processes and procedures
- Advising Relationship Managers of information gaps and requesting additional information as required.
- Keeping KYC/AML knowledge current.
- Maintaining a thorough knowledge of the KYC and CPI documentation requirements.
- Demonstrating professionalism and commitment to adhering to established SLAs and where not possible, develop plan for communication to partners and advise/consult with Manager as appropriate;
- Maintaining a good understanding of the Commercial Banking business unit’s products and services.
- Actively participate in team huddles and initiatives
- Escalating issues and/or concerns immediately to your supervisor for corrective action in a timely manner.

Ensure the accuracy and integrity of all CPI and KYC/AML documentation, data, and information by:

- Reviewing all documentation received for accuracy and thoroughness of completion by Relationship Managers in line with regulatory requirements and established procedures
- 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 Standards, and the Guidelines for Business Conduct
- Identifying higher-risk industries/individuals (e.g., PEPs, Sanctions etc.) during new Client Onboardings, Refreshes or Remediations and escalating through the proper channels when necessary.
- Working with Relationship Managers, Business Service Centres (BSC)and the necessary Bank partners in order to gather the necessary information as required.
- Working closely with the Canadian Banking AML Team to complete KYC/AML remediations of existing commercial portfolios, if required within established timelines.
- Maintaining an accurate log of information gaps for training purposes and establishing best practices;
- Escalating complex or non-standard structures to your manager as required.
- Reviewing name screening alerts in Fircosoft for Commercial Business Units that are under ACRM Lite process and dispositioning the alerts promptly and accurately.

Ensuring strict adherence to Bank security and control procedures for customer information, data, access to systems and documents by:

- Adhering to regulatory activities and guidelines including Privacy, Anti Money Laundering/Anti-Terrorist Financing and Know Your Customer policies
- Following department guidelines for the storage, access, and delivery of client/Bank documents
- Ensuring authentication of clients prior to the release of information
- 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 envi

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