Manager, Compliance Quality Assurance

3 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 207813

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

Reporting to the Senior Manager, Compliance Quality Assurance, the Compliance QAR Manager will be responsible for carrying out quality assurance review activities in order to assess the design and operating effectiveness of our internal Compliance processes and programs globally. The incumbent will also provide value added support to our internal stakeholders by making recommendations which contribute to the overall enhancement of our global compliance programs and processes.

**Key Accountabilities**
- Execute QAR review procedures for each of the 8 Pillars of Compliance of the Bank’s Regulatory Compliance Management Framework
- Understand enterprise and local compliance operations and processes as they relate to the Bank’s Regulatory Compliance Management Framework
- Assist in the development and documentation of the annual risk-based QAR Plan
- Update engagement planning documents as required, ensuring engagement scope and objectives are defined and QA procedures are appropriate and efficient
- Perform and document process and control walkthroughs and detailed sample testing for assigned areas and/or engagements
- Evaluate the design and operating effectiveness of enterprise compliance and local compliance programs, processes, and controls vis-à-vis Regulatory Compliance Management Framework requirements
- Ensure working paper files are documented on time and according to established QAR documentation standards.
- Ensure QAR results are analyzed, key themes are highlighted, root causes are identified and impact is assessed
- Document QAR issues and enhancement opportunities in a manner which clearly articulates underlying risk and urgency of required resolution.
- Validate self-identified, internal audit and regulatory exam issues, to verify root cause(s) are addressed
- Execute assigned QAR activities within pre-set timelines and budget restrictions
- Actively pursues 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.
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge

**Reporting/Communication**:

- Ensure QAR engagement reports are written in a clear, consistent standard of quality and are finalized within established timelines
- Record QAR findings in Global Issues Management System and perform timely monitoring and validation testing of management action plans.
- Assist with preparation of periodic status updates and reporting packages to be presented to business, senior management, regulatory bodies, oversight committees, and other stakeholder groups, as needed.
- Maintain effective communication with team members and compliance stakeholders throughout the QAR engagement planning, execution, and validation testing process

**Special Projects & Other**
- Conduct effective challenge of Compliance self-assessment activities and reports, as needed
- Continuously challenge and enhance current QAR methodologies and practices to improve program efficiencies
- Provide value added consulting/advisory services to enterprise and local compliance functions and/or projects, as needed.
- Assist with monitoring and impact analysis of ongoing Global Compliance program and project changes.
- Carry out special QAR assignments and/or activities as needed.

**Professional Development**:

- Comply with department established HR Management policies and procedures.
- Establish business goals, development plans, and performance self-assessments, monitoring for achievement/completion throughout the year.
- Manage self-development by confirming job expectations, assessing progress, identifying mentors/coaches, and enquiring about training needs throughout the year

**Functional Competencies**:

- Strong communication skills with ability to write clearly and concisely.
- Strong analytical skills with ability to understand various operations and assess the effectiveness of processes and controls.
- Knowledge of the financial sector, working with regulations including a perspective on the regulatory landscape.
- Attention to details with an ability to problem-solve and multi-task.
- Working knowledge of data analytics tools preferred (Excel, Power BI, Tableau, SQL, SAS etc.)
- Work effectively in a group environment and individually to manage cross-functional relationships.
- Ability to work in an environment with competing deadlines, ambiguity, rapid change and develop approaches to conduct QARs in these environments.

**Education/Experience**:

- University/Post secondary degree in Business, Accounting, Economics, Law etc.
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