Director, Canadian Financial Investigations

2 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 208544

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

Reporting to the Vice President, Financial Intelligence Unit (FIU), the Director, Canadian Financial Investigations & Governance and Business Management leads and oversees Governance & Business (G&B) Management within the Canadian Financial Intelligence Unit (FIU). They are responsible for audit/regulatory management, issues management, process/procedure enhancements, executive reporting, governance, business management, change management, communication, employee engagement, and projects/initiatives (among other things) within the Canadian FIU. In addition, they lead and oversee FIU investigative teams, ensuring AML related regulatory obligations, business strategies, plans, and initiatives are executed/delivered in compliance with governing regulations, as well as internal policies and procedures.

The Director will execute/deliver business strategies, plans, and initiatives in compliance with governing regulations, the Global AML Program, and internal policies/procedures. They will also execute and administers the responsibilities, on behalf of the Vice President, Canadian FIU, for Scotiabank’s FIU day-to-day Transaction Monitoring Case Investigations, including timely disposition and proper regulatory reporting. Lastly they will be responsible for G&B activities and operational processes, along with quality performance, within the Canadian FIU for Transaction Monitoring Case Investigations and facilitates regulatory AML reporting while providing advice and counsel to business lines regarding AML/ATF associated risk mitigation activities.

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

- Governance & Business (G&B) Management
- Supporting the VP, Canadian FIU in understanding enterprise-wide financial, regulatory, reputational, sanctions, and legal risks, and provides oversight and governance in all relevant business lines.
- Collaborate and coordinate effectively with others within Global AML, Operations, other FIUs, and the Business Lines to affectively administer the Bank’s AML Program and mitigate risk efforts.
- Drive audit/regulatory management, issues management, process/procedure enhancements, executive reporting, and governance for the Canadian FIU.
- Drive business management activities, change management, communication, and employee engagement (town halls, etc) for the Canadian FIU.
- Collaborate (and lead where appropriate) with key TM stakeholders on audit/issue management and closure, reporting, communications & change management, process/procedure enhancements, resource tracking/planning, and special projects.
- Establish and support the activities and the internal processes of the senior management AML committee(s).
- Create a consolidated view of AML and Regulatory risk for VP, Canadian FIU and executive management.
- Plan and develop board and executive committee agendas and material including consideration for reporting on pertinent AML related information, including, but not limited to, initiatives, compliance deficiencies, and corrective action taken.
- Lead the design, assessment, and change management of Bank-wide initiatives on behalf of the VP, Canadian FIU.
- Investigations & STR Filings
- Develop and implement the FIU Transaction Monitoring Case Investigations strategy for the efficient and effective execution of the assigned components of AML detection and reporting program.
- Contribute to, and approve, policies and procedures for implementation of the AML Program, particularly for Transaction Monitoring Case Investigations.
- Monitor overall departmental performance and work quality, including, but not limited to, workload, staffing, change management implementation, quality control (management function to promote adherence to the SOP, following a risk-based approach function), quality assurance assessments (primary control for quality), training effectiveness, and other defined departmental performance measurements.
- Collaborate and coordinate effectively with others within Global AML, Operations, other FIUs, and the Business Lines to affectively administer the Bank’s AML Program and mitigate risk efforts.
- Oversee Transaction Monitoring Case Investigations of potentially suspicious transactions and provides guidance to ensure effective actions and resolutions for mitigating regulatory, financial, reputational, and legal risk to the Bank and Global AML.
- Maintain processes established for the actions required for referrals and information sharing involving sanctions, Corporate Security, law enforcement agencies, FINTRAC, or other FIU/SIU/SIUP requests.
- Ensure the timely (as soon as practicable) and accurate reporting of suspicious transaction reporting (STRs) to FINTRAC, in accordance with regulations.
- Prepare recommendations for potential escalation to the Group CAMLO with respect to Client risk mitigation activities,

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