Director, Internal Control

6 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 197695

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

**Global Banking and Markets**:
Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world.

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries We work together to drive ambition for every future

**Purpose**:
Leads and oversees a team within GBM Internal Control that plays an integral role in the effective design and execution of Regulatory Controls.

Provides strategic direction, leadership and oversight on all matters pertaining to Regulatory Controls as they manifest across the client onboarding process. Provides oversight over related policies, procedures and processes with a focus on the integrity and utilization of Client, Account, Tax, Reference, Pre-trade and Market data.

Provides oversight and leadership over change management activities related to regulatory reporting and other OTC-related regulatory requirements within Global Banking and Markets (GBM) and Group Treasury (GT) to ensure that Regulatory Trade Reporting and other activities are appropriately monitored and governed in accordance with regulatory expectations. Among other things, this role ensures Scotiabank has an integrated view of its regulatory reporting, stretching from data acquisition through to reporting technologies. The role is critical to drawing insights from Scotiabank reporting to denote potential issues and where inconsistencies may exist. This includes tracking of issues associated with reporting and assessing the ongoing state of the reporting infrastructure.

The Team provides consistent monitoring and governance for regulatory regimes that rely upon a common data set, Commodities Futures Trading Commission (CFTC), Ontario Securities Commission (OSC), Nova Scotia Securities Commission (NSSC), European Securities and Markets Authority (ESMA), Financial Conduct Authority (FCA), Hong Kong Monetary Authority (HKMA), Securities and Futures Commission of Hong Kong (SFC), Monetary Authority of Singapore (MAS), Australian Securities and Investments Commission (ASIC).

**What You’ll Do**:

- Provides leadership over the development and execution of regulatory controls across the client onboarding process
- Serve as an escalation point for global stakeholders and any third-parties relative to our regulatory control environment
- Provides oversight across OTC derivatives-related matters on a Global basis with particular focus on CFTC requirements.
- Leads / Chairs governance forums and management meetings relevant to the book of work
- Provides representation in industry associations and/or working groups related to regulatory and market infrastructure initiatives to ensure industry best practices are informing our controls.
- Monitors the effective execution of related monitoring controls.
- Accountable for monitoring and escalating metrics that indicate the completeness, accuracy and timeliness of reporting.
- Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge. Development and maintenance of collaborative relationships with the key clients, stakeholders and partners of GBM.
- Coordinate GBM-related responses to queries from Compliance in response to outreach from Regulators.
- Manage delivery of any action items / findings arising from various senior committees, Audit, and/or Compliance Testing.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Creates an environment in which his/her team pursues effective and efficient operations of his/her 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.
- Builds a high performance environment and imple

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