Program Manager, Canadian Banking Compliance Specialist

1 month ago

Toronto, Ontario, Canada Scotiabank Full time

Program Overview

The Canadian Banking Compliance Program is responsible for ensuring the Bank's compliance with governing regulations, enterprise requirements, and internal policies and procedures. As a Program Manager, you will contribute to the overall success of the program by executing activities to manage and administer the program framework.

Key Responsibilities

  • Provide ongoing support to the Director and Senior Manager to ensure the program framework is appropriate, sustainable, and adapted as needed to meet ongoing regulatory requirements and expectations.
  • Manage and administer the book of records for the program.
  • Support and/or lead the implementation and/or execution of Enterprise Compliance and/or Internal Audit related activities to the program, including compliance testing activities, audit activities, Compliance Risk and Control Assessments (CRCA), and regulatory obligation and control updates as needed.
  • Support and/or lead the development, maintenance and update of internal procedures, job aids and training materials, ensuring alignment to Global Compliance Standards and regulatory requirements.
  • As appropriate, coordinate and maintain oversight on enterprise-wide projects, audits and external regulatory reviews impacting Canadian Banking Compliance.
  • Contributes to the development of strategies and initiatives to improve and enhance the Program with an objective of continuous improvement/evolution.
  • Works closely with counterparts across Global Compliance to share best practices, avoid silos, and ensure consistency and alignment to the Enterprise Compliance Framework.
  • Develops and maintains strong knowledge of Bank processes, policies, procedures, applications and products related to the Bank's risk appetite and culture.
  • Develops and maintains and fosters relationships with stakeholders and business partners for the purposes of creating an integrated risk framework and enhancing business-line effectiveness.
  • Proactively identifies potential violations of regulatory requirements, internal policies and procedures, in a timely manner and makes recommendations to mitigate business, compliance and operational risk.
  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursues effective and efficient operations of their 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.
  • Champions a high-performance environment and contributes to an inclusive work environment.

Requirements

  • University or college education is preferred.
  • Minimum of 4 years relevant work experience in the financial services industry, preferably within a regulatory compliance, audit or risk management function.
  • Experience in managing one or more of the end-to-end processes associated with compliance issues management, regulatory developments, compliance risk and controls assessments, and regulatory obligation and controls libraries, ensuring books of record are completed timely with accurate and updated information.
  • An understanding of internal controls and control frameworks is an asset.
  • Proven experience identifying key risks and issues in programs, project scope and delivery timelines, and conducting analysis to resolve risk factors.
  • An understanding of Regulatory Change Management is an asset.
  • Experience in regulatory reporting and dealing with regulatory agencies is an asset.
  • Excellent written and verbal communications skills, including an ability to communicate effectively with stakeholders across numerous functional groups (e.g. Front Office, 1B teams, Compliance, Risk etc.).
  • Experience managing projects and programs, including ability to translate a task or vision into defined requirements and/or action items, and manage the completion and/or coordination of activities to ensure timely results.
  • Experience performing gap assessments, including developing and tracking of action items to close any gaps,
  • Experience developing effective reporting and presentation decks.
  • Strong attention to detail ensuring accuracy of data inputs and consistency across data platforms.
  • Demonstrated ability to leverage available resources and think outside of the box to ensure results are achieved effectively, efficiently, and with ease.
  • Strong planning and analytical skills, ability to prioritize and focus on critical issues.
  • Prior experience developing procedures, job aids, and/or training.
  • Thorough knowledge of the MS Office suite including SharePoint.
  • Highly motivated; demonstrated ability to multi-task and deliver in a fast-paced, challenging and dynamic business environment.
  • Strong interpersonal skills with the ability to develop working relationships with cross-functional teams.
  • Ability to communicate clearly and effectively both verbally and in writing.
  • Experience in managing several ongoing projects and competing priorities concurrently.
  • Familiarity with regulatory risk areas (not including AML/ATF or Privacy) for business units within Canadian Banking and Global Operations, including Tangerine Bank and Digital Banking, as well as Private Banking (Domestic) is an asset.
  • Familiarity with Canadian Banking Industry and related products/services is an asset.
  • Familiarity with Regulatory bodies and requirements (FCAC, AMF, OSFI, etc.) is an asset.
  • Familiarity with Scotiabank policies and procedures across numerous, distinct business units/branches is an asset.

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