Manager, Compliance Risk Assessment Program

5 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 193802

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

The Manager contributes to the overall success of the Compliance Risk and Control Assessment 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.

The Manager will be responsible for supporting key priorities and providing strategic and operational support in executing the CRCA (Compliance Risk and Control Assessment) Program’s global mandate. The CRCA helps to inform and assess the Regulatory Compliance Risk profile of the Bank. It supports the determination of whether the Bank and /or various components of the Bank are operating within the established Compliance Risk Appetite. It also helps facilitate the prioritization of Compliance testing activities. The outcome of the assessment is used to define areas of focus /allocation of resources to further prevent or reduce the likelihood of noncompliance with applicable Regulations, or to detect and address non-compliance instances.

**Is this role right for you? In this role you will**:

- Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- CRCA Centre of Excellence - Provide support to the Senior Manager in maintaining a Centre of Excellence that provides oversight over elements of design and effective challenge on the execution Compliance Risk and Control Assessment (CRCA) activities, such as by assisting in:

- Execute the risk assessment process to ensure adherence to enterprise risk assessment procedures and standards
- Maintain standardized annual/quarterly reporting on CRCA activities; working with the Reporting group to facilitate the inclusion of CRCA programs and results in executive reporting including the CCO opinion
- Coordinate and help to deliver training workshops on CRCA activities
- Support annual/quarterly assessment activities globally
- Maintain awareness of regulatory expectations and industry standards with respect to risk identification and assessment
- Relationship Management - Develop and maintain key partnerships:

- Work collaboratively across lines of defense to support the identification of regulatory compliance risk, assessment of control strength, risk mitigation plans and adherence to regulatory guidelines and expectations
- Participate in internal/external meetings that will enhance compliance and business strategic initiatives and project(s) completion
- Work with the Global Compliance teams to identify trends in regulatory risks and escalating recommendations, as necessary
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursue effective and efficient operations of their 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.
- Champion a high performance environment and contributes to an inclusive work environment.

**Do you have the skills that will enable you to succeed in this role? We'd love to work with you if you have**:

- Graduate degree in a Business, Finance, Law or relevant Social Science (e.g. Economics).
- Minimum of 3 years of experience in a regulatory compliance role in a large Financial Institution or with financial regulators. In addition,
- Minimum 1 years of Risk management experience (Compliance or all-bank operational risk assessment), either in a 2nd line or 1st line execution role, relevant experience include compliance, FCC, operational risk
- Basic understanding of compliance concepts (e.g., Compliance risk types, key regulators, 3LOD)
- Ability to clearly articulate the role of the Compliance function
- Basic understanding of Compliance risk assessment role in supporting management of Compliance risk
- Experience developing and maintaining reports for Executive audiences, with the ability to visualize data
- Expertise in data analytics / data mining and ability to manipulate and make sense of very large data sets
- Proven experience working with multi-disciplinary project groups
- Excellent written and verbal communication skills
- Ability to learn and adapt to rapidly changing regulatory and business environments
- Strong time management, project management, research and analytical skillsets
- Verbal and written fluency in Spanish is an asset

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 b

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