Senior Compliance Officer, Testing - GBM&T
Scotiabank
Toronto, ON, CA
5d ago

Requisition ID : 88291

Join the Global Community of Scotiabankers to help customers become better off.

Purpose of Job

Contributes to the overall success of the Global Business Markets and Treasury (GBM&T) Compliance Testing Team Canada Program, by focusing on securities regulatory requirements and ensuring team and individual goals, plans and initiatives are executed and delivered in support of the Enterprise-Wide Global Compliance Program’s overall strategy and objectives, and that all activities performed, are in compliance with governing capital markets regulations, internal policies and procedures.

Key Accountabilities

The successful candidate will be accountable for the following :

  • Conducting independent regulatory testing of the Compliance Program across GBM&T Canada
  • Coordinating and executing on GBM&T compliance testing activities in alignment with the Annual Compliance Testing plan
  • Assessing the various business units within GBM&T to determine their design and operating effectiveness in regards to compliance risk and utilizing a risk based approach to identify potential and / or actual compliance gaps in their various processes and procedures
  • Managing the various stages of the capital markets testing reviews performed including the reporting of results, and ensuring the consistent use of global testing standards, methodologies, tools and documentation to support the testing activities performed
  • Supporting the GBM&T Canada Compliance Testing team and the relevant business units in establishing and executing a risk-based testing program that provides adequate testing and risk coverage while promoting global testing standards
  • Assisting in the development of management reporting, regarding scope and coverage of the GBM&T testing Program, including the development and reporting of KPIs and Metrics based on the compliance testing performed
  • Assisting in the preparation of information requests related to Canada’s Compliance Testing Program from both internal and external examiners
  • Assisting in the development of a customer focused culture to support and work collaboratively with various lines of businesses throughout GBM&T and Global Compliance in the development of strong client relationships
  • Reviewing and investigating potential and / or actual compliance issues as they arise and escalating issues in alignment with standardized processes and procedures
  • Demonstrating the ability to multi-task and where required, provide additional resourcing assistance on testing engagements outside of GBM&T (e.
  • g. Canadian Banking, Canadian Wealth Management etc.)

  • Championing diversity within a high performance team environment, supporting an Enterprise-Wide people strategy focused on developing, attracting and retaining highly motivated individuals to help drive the Global Compliance Program
  • Education / Experience

  • Minimum of 5 years relevant experience working within the financial services industry preferably within a regulatory compliance, risk or audit function in a matrix organization
  • Previous experience related to capital markets securities regulatory requirements
  • Strong investigative and data analytic skills, combined with the ability to develop KPIs and Metrics
  • Strong presentation and communication skills
  • Compliance / Financial / Audit professional designations are an asset
  • Bachelor’s degree (or equivalent)
  • Location(s) : Canada : Ontario : Toronto

    As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries.

    Our employees are committed to a superior customer experience and use the Bank’s six guiding sales practice principles to ensure they act with honesty and integrity.

    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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