Senior Manager, Governance Lead

2 days ago

Toronto, Ontario, Canada Scotiabank Full time

Join Scotiabank, a leading bank in the Americas, and be part of our purpose-driven winning team.

We are committed to results, working in an inclusive and high-performing culture.

About the Role

This Senior Manager, Governance role is a key position within our Global Compliance Trade Surveillance Governance and Strategy (GCTS G&S) program.

You will report directly to the Director of GCTS G&S and be responsible for developing and managing the program's governance in compliance with governing regulations, internal policies, and procedures.

  • Maintain deep knowledge and understanding of industry issues and practices, regulatory requirements, and associated changes.
  • Engage with trade surveillance professionals to understand regulatory requirements and leverage subject matter expertise when creating or updating procedures aligned with enterprise standards, applicable industry regulations, and reflective of rule changes from various regulatory bodies.
  • Lead risk assessments of existing procedures and manage ongoing updates of procedures in accordance with the results of the risk assessments.
  • Support overall design and implementation of enhancements to the GCTS G&S program, including updates to governance processes and execution on elements of projects to enhance the program leveraging industry best practices.
  • Drive development and delivery of communication and socialization strategies for new procedures and related training, including review of program training materials and global training strategy to ensure alignment with enterprise standards.
  • Coordinate internal and external regulatory examinations and findings resolution monitoring/reporting.
  • Support development and implementation of internal communication strategies and reporting to help the team achieve its business objectives.
  • Drive implementation of enhancements and develop Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs) to monitor the effectiveness of the GCTS program.
  • Act as champion in safeguarding the program's risk framework and its governance by leading risk and control meetings and monitoring appropriate documentation and maintenance of record keeping in accordance with the requirements.
  • Drive overall design and implementation of enhancements to the GCTS Governance and Strategy program, including updates to governance processes and execution on elements of projects to enhance the program leveraging industry's best practices.
  • Act as key resource for the team by supporting the Trade Surveillance management team and assisting the team in the execution of their duties. Act as Subject Matter Expert for issues involving business divisions, Operations, Finance, and any other external group as required.
  • Champion a high-performance environment and implement a people strategy that attracts, retains, develops, and motivates the team by fostering an inclusive work environment, communicating vision/values/business strategy, and managing succession and development planning for the team.
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
About You

We are seeking a highly experienced professional with:

  • Excellent written and verbal communication skills.
  • Experience building procedures, standards, and methodology governance.
  • Post-secondary education and/or professional designations.
  • Securities licenses, Canadian Securities Course, Conduct and Practices Handbook Course, and/or the Trader Training Course or equivalent preferred but not required.
  • Minimum of 5-7 years of related experience at a financial institution and/or regulated securities dealer.
  • Able to work independently and with other staff across functional lines within the Bank.
  • In-depth knowledge of regulatory and compliance requirements.
  • Identify external market activity, news, and additional factors that may influence trading activities.
  • A comprehensive understanding of the Investment Industry Regulatory Organization of Canada (IIROC) dealer rules and Universal Market Integrity Rules, Montreal Exchange Rules, Financial Industry Regulatory Authority (FINRA) rules, as well as a sound understanding of Canadian provincial securities legislation applicable to trading activities and capital markets, Dodd-Frank Act, Volcker Rule, and MiFID II or MAR.
What We Offer

As a Senior Manager, Governance at Scotiabank, you can expect:

  • A competitive salary of $120,000 - $160,000 per year, depending on experience.
  • A comprehensive benefits package, including medical, dental, and vision coverage.
  • A generous pension plan and retirement savings plan.
  • Ongoing training and development opportunities to enhance your skills and career growth.
  • A dynamic and inclusive work environment that values diversity and promotes work-life balance.
Location

This role is based in Toronto, Ontario, Canada, and requires occasional travel to other locations within North America.

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