Audit Manager, Compliance/global Banking
3 weeks ago
Requisition ID: 165433
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
**Purpose**
The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and to provide advisory services designed to improve the Bank's operations.
The incumbent has responsibility for planning, executing and reporting of audits to provide independent, objective risk assessment of the effectiveness of the Global Banking and Markets (GBM) Compliance Programs (2nd Line) with in the overall Regulatory Compliance Management Framework (RCM). The incumbent will act as a member of the audit team on various audit engagements and is responsible to execute the assigned audits and deliver quality work in accordance with the department Methodology. The position will also assist the Director and Senior Manager within the Compliance Audit Team (CAG) to perform activities under the Center of Excellence model to ensure coverage of Laws, Rules and Regs (LRRs) including participation in various regulatory remediation projects.
**Accountabilities**
- Planning, Execution and Reporting of the CAG Audit Plan for GBM
- Executes audit engagements as per the Audit Plan and updates the Risk Assessment Database as required
- Participates in the audit coverage of LRRs and to develop and implement standard audit programs for adequate and consistent approach to cover regulatory compliance risk
- Participates and assists with the coverage, execution, assessment of regulatory compliance audits related to Market Abuse Rules, OTC Derivative Regulations, Volcker, IIROC etc.
- Maintains a reasonable understanding of compliance risks and processes. This includes keeping abreast of key industry developments, regulatory changes, and identifies key systemic issues (arising from audits globally) and internal changes that will impact audit engagements
- Assist with the quarterly continuous monitoring program
- Implement strategies for increasing the use of data analytics to drive effective risk assessment and engagement / project execution
- Contributing member of the Centre of Excellence (CoE)
- Coverage Capabilities: Assist to prioritize, risk assess and map key LRRs into the audit universe.
- Global Thematic / Extra Territorial Rule: Assists in the Global Coverage approach and execute in execution of audits. Report on coverage, risk assessment and results
- Regulatory Coverage Monitoring: Implement a process to monitor coverage of LRRs. Analyze results & assess impact on the effectiveness of the Compliance function
**Education/Experience**
- 5+ years’ experience in Compliance, Compliance Audit, Regulatory body or related consulting experience
- Working knowledge of Capital Markets Products and Banking Regulations including Compliance framework, structure, programs, and systems
- Internal or external audit background. Accounting designations / technical / professional qualifications (CPA, CFA, CIM etc.) will be an asset.
- University degree in business, finance, economics, accountancy or any other relevant area.
- Knowledge of audit processes and methodologies
- Ability to write clearly and concisely
- Strong strategic, analytical, problem-solving and critical thinking skills
- A self-starter / takes initiative, deals well with ambiguity, is detail-oriented
- Thrives in a dynamic team-oriented environment
auditjobs
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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