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Compliance Risk Manager

1 week ago

Toronto, Ontario, Canada Scotiabank Full time
Job Overview

At Scotiabank, we are seeking a highly skilled Compliance Risk Manager to join our team. The successful candidate will be responsible for overseeing the execution of the Global Compliance Regulatory Compliance Management and Anti-money laundering/Anti-Terrorist Financing (AML/ATF) Program in international countries. This includes all compliance pillars and enterprise programs across Business Lines and Corporate Functions.

The ideal candidate will have a solid ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines. They will also possess excellent knowledge of Corporate Functions (GRM, Finance, HR, IT&S, General Counsel, etc.) and related regulatory compliance requirements.

We are looking for someone who is highly organized, capable of dealing with complex projects, and possesses strong analytical and investigative skills. If you have experience in the financial services industry and a proven track record of success in compliance risk management, we would like to hear from you.

About the Role

This role involves managing key relationships to ensure business strategies, plans, and initiatives are executed and delivered in accordance with governing regulations and the Bank's business strategies, plans, initiatives, internal policies, standards, procedures, and ethical conduct standards. The role requires active participation in ongoing status meetings with 2L Compliance and AML teams to monitor and track the Annual and Quarterly Plan for Monitoring and Testing. The successful candidate will also support with preparing International Compliance & AML meetings reports and status updates which serves as support for various committees' meetings such as Compliance Risk Oversight Committee (CROC), Program Oversight Committee (POC), AML Risk Oversight Committee (AROC), IB AML Program Committee, Operational Risk Committee (ORC).

Responsibilities

- Support the Bank's strategic objectives by working with senior management to support the 'Tone from the Top' by consistently communicating and reinforcing the message so that the objectives are achieved in a compliant manner.
- Oversees and coordinates scope for compliance testing in Corporate Functions in International jurisdictions in order to assess compliance with legal, regulatory, and internal Bank policy requirements.
- Focus on the applicable local and extra-territorial regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
- Actively participates in the Annual Testing Plan for Corporate Functions (CF) and continuously provides feedback on enhancements to the testing methodology.
- Participates in ongoing status meetings with 2L Compliance and AML teams, to monitor and track the Annual and Quarterly Plan for Monitoring and Testing.
- Supports with preparing International Compliance & AML meetings reports, status updates which serves as support for various committees' meetings such as Compliance Risk Oversight Committee (CROC), Program Oversight Committee (POC), AML Risk Oversight Committee (AROC), IB AML Program Committee, Operational Risk Committee (ORC)
- Collaborates with the rest of the International Compliance and AML team; local Compliance teams; Corporate Functions (CF), GWM, GBM&T, CB Compliance teams; and Enterprise Programs Compliance teams to ensure Scotiabank Global Compliance & AML has a coordinated, efficient, and effective Compliance & AML Program in International.
- Identify, assess, communicate, and mitigate Compliance & AML risks, maintain oversight and awareness of applicable regulations, and provide advice and guidance to local Compliance & AML and Internal Control stakeholders, particularly where issues are raised in regulatory and audit reports and oversee corrective measures.
- Participates in a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
- Develops and/or supports ad-hoc or relevant internal and external events, forums, initiatives, committees, and other key meetings.
- Develop, implement, and maintain applicable global frameworks and standards, policies, procedures, and related documentation relevant to International Compliance & AML.
- Understands how the Bank's risk appetite should be considered in day-to-day activities, measured, monitored, and reported.

Requirements

- Spanish fluency is required.
- Post-secondary education with relevant experience in the financial services industry, preferably within a CF, business line, regulatory compliance, operations, technology, audit, or risk management function.
- A minimum of 8 years of relevant experience in the financial services industry preferably within a regulatory compliance, audit, testing, or risk management function.
- Solid ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines.
- Highly organized and capable of dealing with complex projects as well as strong analytical and investigative skills.
- Excellent knowledge of Corporate Functions (GRM, Finance, HR, IT&S, General Counsel, etc.) and related regulatory compliance requirements.
- Understands testing standards, tools, and methodologies behind creating valuable compliance programs.
- Ability to work in a high-performing, flexible team environment across multiple jurisdictions.
- Strong knowledge of banking regulations, products & services, technology, and operations with a general understanding of different legal systems applicable to the jurisdictions the Bank operates in.
- Strong analytical and communication skills, and results-oriented, and data-driven approach in decision making.
- Experience with providing insights to and interacting with the CFs/business lines.
- Ability to positively influence senior management in order to successfully implement and maintain the program.
- Experience using analytics to identify areas of risk and opportunities for improvement.
- Strong knowledge of Microsoft applications (including Word, Excel, and PowerPoint), Power BI, Tableau, and Visio.