Director, Global Compliance, Corporate

2 weeks ago

Brockville, Canada Scotiabank Full time

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Title:  Director, Global Compliance, Corporate & Investment Banking

Requisition ID: 200844
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Builds, leads, and oversees a world class Advisory team for GBM&T Canada focused on Corporate & Investment Banking, Equity Capital Markets (ECM), Debt Capital Markets (DCM), Global Loan Syndications (GLS) and Equity Research and their related front, middle and back-office support and operational teams. Ensures business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies, and procedures. Supported by a team of Senior Managers and working closely with the other Directors who support GBM&T Compliance Canada as well as the Global GBM&T Compliance teams.

Accountabilities

  • Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Leads and manages the Advisory relationship with the relevant GBM&T Canada business product, service, and operational heads.
  • Develops a world class Advisory team and program, providing ongoing counsel and advice, and delivering consistently efficient and effective compliance support to Corporate & Investment Banking, ECM, DCM, GLS and Equity Research , including:
    • Ensure that the policies and procedures for the business groups supported reflect, at a minimum, all Canadian legislative and regulatory requirements
    • Application of Scotiabank internal policies and procedures
    • Completion and effective challenge of risk assessments, such as New Initiative Risk Assessments (NIRAs) and Compliance Risk and Control Assessments (CRCAs)
  • Provides leadership and direction for the Advisory team, including providing significant influencing and coaching and mentorship.
  • Supports, develops, and delivers annual, periodic, and ad hoc compliance and related risk management training, education and awareness initiatives to the appropriate internal stakeholders and business divisions.
  • Oversees, coordinates and/or assists in the preparation for reviews and information requests from Canadian and International regulatory bodies.
  • Assists and provides guidance when responding to regulatory and internal audit inquiries, which includes gathering documents and/or data extracts.
  • On an ongoing basis, monitors and reports on the state of the GBM&T Canada Advisory Compliance program, through regular meetings with business, compliance and control personnel, the preparation and/or review of management information reporting and internal audit/regulatory review results.
  • Builds a high-performance environment and implements a people strategy that attracts, retains, develops, and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviours; communicating vison/values/business strategy; and managing succession and development planning for the team.
  • Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

Education/Experience

  • Post-Secondary education and/or professional designations
  • A minimum of ten years of relevant experience in an institutional business or compliance setting in a large financial institution, established securities dealer or regulatory agency
  • Experience working in or with Corporate Banking, Investment Banking, ECM, DCM, GLS and/or Equity Research is considered an asset
  • General understanding of Canadian regulatory environment and industry trends
  • Ability to identify opportunities for initiating, improving and/or standardizing policies, procedures, and systems across GBM Canada whether in response to regulatory changes or identified problems and then conceptualize, produce, and promote efficient and cost-effective solutions to various levels up to and including senior management
  • Excellent written and verbal communication skills and a proven ability to lead and motivate individuals and teams to work together in a coordinated way
  • An enquiring mind, sound judgment and a strategic thinker who can, when appropriate, be tactical and pragmatic
  • Ability to learn, adapt and remain resilient in a dynamic regulatory and business environment
  • Strong project management skills with a proven track record of success with regulatory compliance and technology-based compliance projects 
Location(s): Canada : Ontario : Toronto 
Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here . Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.


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