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Regulatory Compliance Specialist

2 weeks ago

Toronto, Ontario, Canada Scotiabank Full time
Job Description

The role of a Senior Audit Manager, Enterprise Compliance Audit at Scotiabank is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and offer advisory services to enhance the Bank's operations.

This position plays a crucial role in the Bank's internal control system and involves assessing the design and operational effectiveness of Enterprise Compliance function oversight and controls, adherence to regulatory requirements and Bank policies, and the overall effectiveness of Compliance operations.

Main Responsibilities:

  1. Plan and execute audits of Enterprise Compliance (2nd Line) to formulate periodic opinions on the effectiveness of the function in managing regulatory compliance obligations.
  2. Conduct validation testing to close internal audit and external findings, including regulatory issues.
  3. Report on thematic results of audits and issue validation activities, including results of audits executed by business line/country audit teams to ensure adequate coverage across the RCM Framework.
  4. Assist the Director in developing and managing the periodic Audit Plan.
  5. Support audit coverage of regulatory obligations and develop a consistent approach for regulatory compliance audits to be executed by business and functions audit teams, enabling Audit to assess the state of Regulatory Compliance risk on an ongoing basis.
  6. Support the continued development of the CoE Program through the roll-out of a global audit program that ensures a consistent approach to audits and validation activities of regulatory compliance risk across the Audit Division.
  7. Manage and execute the quarterly continuous monitoring and Continuous Auditing program.
  8. Identify and communicate key regulatory compliance changes and trends/themes.

Key Qualifications:

  • Over 6 years of experience in Compliance, including internal audit, consulting, regulatory experience, and data analytics.
  • Proficient understanding of the Bank's Regulatory Compliance framework, structure, programs, key regulations/regulators, and systems.
  • Professional designations such as CPA, CFA, CIA, or a post-graduate degree in business, finance, economics, or accountancy are advantageous.
  • Audit Expertise: Solid knowledge of audit processes and methodologies.
  • Technical Skills: Proficient in MS Excel, databases, and familiar with Power BI for executing data analytics.
  • Presentation Skills: Demonstrated ability to train and present to large stakeholder groups.
  • Analytical Skills: Strong strategic, analytical, problem-solving, and critical thinking abilities.
  • Initiative: Self-starter who takes initiative, handles ambiguity well, and is detail oriented.
  • Team Player: Thrives in a dynamic, team-oriented environment.
  • Communication: Excellent written and verbal communication skills.
  • Language Skills: Fluency in Spanish (both written and spoken) is a plus.