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Audit Manager, AML/ATF

2 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 203594

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

Purpose

The Audit Department is the 3rd line of defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and provide advisory services designed to improve the Bank's operations.

The Audit Manager will be working as part of the AML Audit Centre of Excellence (COE) and will be responsible for executing AML and Sanctions-related audits. The Manager will work with the Senior Managers and Directors within the AML COE to assess the design and operating effectiveness of internal controls and adherence to Bank policies and applicable regulatory requirements related to AML/ATF and Sanctions risk management across the Bank. The Manager will assist in all aspects of the audit, including the planning, execution and reporting phases. The Manager will also be involved in internal and external issue validation as well as audit continuous monitoring activities.

This position primarily is to support the Director and Senior Manager, AML/ATF & Sanctions Audit with the management of the AML Risk portfolio, though there is opportunity to participate in audits relating to other portfolios, such as Global Banking and Markets and Canadian Banking/Wealth.

Primary responsibilities include:

- Provide support to the AML/ATF & Sanctions Audit team with the management of the AML Audit Program which includes test scripts, training, annual planning, quarterly reporting, annual report to Board of Directors, Continuous Monitoring Activities, initiatives, projects (e.g regulatory remediation) and day-to-day operation of the AML Centre of Excellence

- Provide direct support to the Director and Senior Manager, AML/ATF & Sanctions Audit with the management of the AML Risk portfolio, which includes Governance & Oversight, Sanctions, Risk & Control Assessments and Training program elements.

- Support the Director and Senior Manager, AML/ATF & Sanctions Audit to develop, maintain and monitor application of audit programs for high risk compliance processes, and to collect, analyze and report cross bank AML audit findings.

- Stay abreast of AML and Sanctions laws, regulations, guidance and regulatory expectations.

- Review and provide input to changes to compliance policies, handbooks etc.

Accountabilities

1. Audit Planning

• Identify systemic/emerging issues and changes planned/undertaken by the auditee that will impact the audit plan through discussion with the Officer in Charge (OIC) and Audit Principal. This may include preplanning meetings and walkthroughs with auditees to confirm our understanding of the processes and activities subject to audit.

• Develop a thorough understanding of the business, risks and processes for assigned projects through a review of the Business overviews, Risk Assessment Database, Bank manuals and other related information.

• Develop and/or update Detailed Audit Programs (DAPs) when changes in AML/ATF and Sanctions regulations and processes occur as required.

2. Auditing and Execution

• Execute and manage assigned activities independently in accordance with the Department Standards ensuring the nature and extent of testing is appropriate to support the audit opinion. 

• Complete on-site review of assignments as required ensuring adequacy of work performed to support the audit conclusions and compliance with Department Audit Methodology.

3. Problem Identification

• Ensure audit results are gathered, determine the root cause of the problem and associated impact, and report accordingly with supervision. Confirm results of the audit work with the auditee.

• Prepare and/or review audit findings for presentation to management.

• Document reported issues in the Audit Issues Tracking Database as required.

• Review the quarterly status of outstanding issues as assigned.

4. Reporting/Communication

• Written reports and correspondence demonstrate good understanding of issues with key risks clearly articulated and materiality and associated impact clearly explained in accordance with the Department Audit Methodology. Recommendations build in best practices observed in other units.

• Present findings to line management and conducts audit closings including a discussion/presentation to management with an overview of the audit results and findings for those assignments with some assistance from more senior audit personnel. 

• Follow-up for corrective action/progress against reported issues in the Audit Issues Tracking database on a quarterly basis. Escalate where necessary.

5. HR Management

• Manage self development by/through confirming/communicating job expectations and assessing progress ; identifying mentors/coaches and enquiring about training needs; ensuring timely completion of performance appraisals; recruiting, interviewing and selecting candidates

6. Special Projects / AML Centre of Excellence Operation

• As directed by management, carry out specific projects or investigations of a moderate or high complexity and/or confidential nature.

• Manage and maintain the AML audit program including the test scripts, training program along with annual planning, quarterly reporting, annual report to Board of Directors, continuous monitoring activities, initiatives, projects and day to day operation of the AML Centre of Excellence

7. Other

• Provide advisory services as assigned (E.g. recommendations for procedure changes, review/advise on internal control design, etc.

• Make presentations to other staff to share information for areas of specialization or information obtained in training programs and external courses.

• Assist with the peer review Quality Assurance Program including review of documentation and reports of assigned audit project and reporting of findings to Professional Practice Group.

• Complete all mandatory training and required CPE credits to comply with CAMS certification renewal requirements

Education/Experience

The incumbent should have or be pursuing a Certified Anti Money Laundering (CAMS) designation, and have the following:

- Strong knowledge of AML requirements and Bank policy regarding AML/ATF/KYC and sanctions including Canadian regulatory requirements as well as FATF recommendations.

- Excellent work paper documentation skills (i.e., thorough/detail-oriented);

- Ability to write clear, concise audit reports as well as internal and external communication. (Presents audit findings in the context of the “big picture.”)

- Proficient knowledge of MS Word, Excel, and audit software tools.

- Effective communication skills.

- Familiarity with audit processes and methodologies.

- Ability to work independently and effectively as an individual contributor and team participant. 

- Strong knowledge and background of end-to-end AML program, audit methodologies and audit function.

- University degree