Compliance Testing Manager, Gbm&t Compliance

6 days ago

Toronto, Canada Scotiabank Full time

Requisition ID: 165091

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

**_
Purpose_**

Contributes to the overall success of the GBM&T Compliance Department in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted in compliance with governing regulations, internal policies, and procedures.
The primary responsibility of this position is to support compliance testing for Scotiabank’s Canada’s operations. The Canada Compliance Testing Program covers Canadian regulations applicable to all of Scotiabank’s Canadian broker-dealer (including internal inspections), banking, investment management activities, corporate functions, cross-border testing engagements and other financial services activities. Members of the testing team will be assigned to conduct testing with respect to these business activities.

**_
Accountabilities_**

Support Compliance Testing reviews based upon the regulatory requirements, processes, policies, procedures to assess controls within the first and second lines of defense.
- Understand the applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with regulatory requirements, best practices, and internal policies and procedures.
- Assist team in responding to initiatives, audits, quality assurance reviews and regulatory examinations.
- Support Testing reviews through the planning/scoping, fieldwork and reporting phases.
- Escalate potential issues and exception items noted during the review process to senior management.
- Ensure that the stakeholders respond with appropriate action to address all draft deficiencies noted during the fieldwork process.
- Perform required administrative responsibilities in support of testing, including but not limited to:
Preparing and entering all issues and observations into central repository.

Prepare and distribute testing reports to senior management detailing review findings and recommendations.

Prepare Workpapers documenting testing with enough detail that a third party can reasonably understand.

Track and report the status of remediation and validation of open issues to senior management.
- Provide assistance with the Team’s collective issues management and validation testing efforts.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Building and managing relationships with stakeholders across the business and peers within compliance.

**_
Education/Experience_**
- A minimum of 5 years of compliance, audit or regulatory exam support experience with at least 3 years of which should involve testing or audit.
- Experience/background in compliance applicable to broker-dealer, internal inspections, institutional trading & sales, investment banking, commercial banking, investment management, and corporate functions within investment or commercial bank or institutional broker-dealer is preferred.
- Familiarity with applicable OSFI, IIROC, OSC, and Montreal Exchange as well extraterritorial broker dealer, swap dealer and banking rules applicable to international banks conducting institutional trading & sales, investment banking, investment management, and commercial banking in Canada.
- Strong attention to detail.
- Ability to communicate well across all levels of an organization.
- Solid ability to quickly review, assimilate, prioritize, and escalate issues to appropriate stakeholders.
- Strong ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines.
- Strong written and verbal communication skills.
- Ability to work independently.
- Excellent teamwork, interpersonal and conflict resolution skills.
- Highly organized and capable of dealing with complex projects.

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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