Regulatory Operations Manager, Governance and Compliance
5 days ago
In this exciting role, you will contribute to the success of the Regulatory Operations & Controls Department by executing individual goals and initiatives supporting the team's business strategies. You will also align day-to-day activities with the Bank's risk culture, risk appetite statement, and limits. Additionally, you will communicate the Bank's risk culture and appetite statement throughout the teams.
Main Responsibilities
* Contribute to the success of the Regulatory Operations & Controls Department by executing individual goals and initiatives supporting the team's business strategies.
* Align day-to-day activities with the Bank's risk culture, risk appetite statement, and limits.
* Communicate the Bank's risk culture and appetite statement throughout the teams.
* Actively ensure efficient operations, adhering to day-to-day business controls for operational and regulatory compliance.
* Lead, initiate, and/or actively participate in various initiatives/projects from requirements through to implementation and sustainment.
* Lead and drive a customer-focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
* Lead the recruitment, management, and development of team members, fostering a culture of excellence, positively impacting team dynamics, and ensuring overall operational success.
* Prepare and create metrics dashboards on a monthly basis and report to management. This also includes gathering, analyzing, and interpreting data trends or patterns to support enhancements to business processes and service levels, system requirements, and to identify gaps and opportunities to improve operations.
* Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
* Participate in defining the team business strategy and is committed to their own professional development.
* Create an environment in which their team 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.
* Build a high-performance environment and implement a people strategy that attracts, retains, develops, and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviors; communicating vision/values/business strategy; and managing succession and development planning for the team.
Program Governance & Oversight
* Manage key controls for regulatory compliance, leading the development of a robust framework for FATCA, CRS, and QI programs, aligned with regulatory requirements and industry best practices.
* Ensure compliance and effectiveness through proactive risk management, control measures, and governance initiatives. Monitor global regulatory shifts, conduct gap analyses, and collaborate with stakeholders to manage regulatory changes.
* Develop and implement Enterprise Regulatory Compliance Management (eRCM) program by reviewing regulatory obligations, mapping relevant regulations to the appropriate business lines and countries, and working with stakeholders to identify relevant controls to address regulatory obligations.
* Support 1A/1B/2A stakeholders in the Compliance Risk and Control Assessment (CRCA) by leading the program-level guidance assessments for the Tax Programs (FATCA, QI & CRS). Additionally, support ROC as an internal controls function under Global Operations in managing CRCAs for Global Fraud, Canada Collections, Contact Centres, Operations & Corporate Services (Escalated Customer Concerns Office or ECHO) - 2nd level in the bank's internal complaint resolution process.
* Develop and implement robust enterprise strategic plans, change management strategies, and enterprise frameworks.
* Share updates through impactful memos, handle executive dashboards, provide regular program updates, and present key insights on controls, testing, and issues to keep stakeholders well-informed.
* Manage the creation, implementation, and upkeep of enterprise documentation, including policies, procedures, training materials, risk assessments, regulatory obligations, and controls mapping.
* Implement end-to-end processes to enhance transparency, track program progress, and escalate critical matters to senior management. Lead in-depth analysis, interpretation, and documentation of regulations and business rules.
* Collaborate with government agencies, consulting firms, and industry peers to advocate for Scotiabank's regulatory position during the introduction or modification of guidelines.
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