Conduct Risk Advisor
Scotiabank
Toronto, ON, CA
6d ago

Requisition ID : 75786

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

Purpose

Contributes to the overall success of the Enterprise Conduct Risk program ensuring specific individual goals, plans and initiatives are executed and / or in support of the team's business strategies and objectives.

Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities

  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  • Assists the Director Compliance, Conduct Risk and the Sr. Manager, Conduct Risk Insights, Training and Communication in the development and ongoing maintenance and improvements of an end-to-end Conduct Risk Program including with respect to the : Develop and update of policy and procedure documents associated with the Scotiabank Code of Conduct ( Code Documents) including the following documents and their successors : Scotiabank Code of Conduct Code of Conduct Update Procedures Corporate Directorships and Outside Business Activities Provide advice and counsel on, and Interprets the Code ensuring there is a consistent interpretation and implementation.
  • Manage Conduct Risk advisory services by researching and preparing responses to enquiries, information requests and / or audit / regulatory requests related to Conduct Risk.
  • Monitor ongoing and emerging Conduct Risk issues, and industry intelligence and other research studies.
  • Prepare submissions for the Audit and Conduct Review Committee of the Board, as requested.
  • Assist with the annual Code training and acknowledgement process in partnership with Global Learning & Development and Global Compliance stakeholders to ensure timelines and reporting requirements are met.
  • Prepare annual Code declaration.

  • Undertake such other Conduct Risk projects and initiatives, as directed by the Director, Compliance Conduct Risk.
  • Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursues effective and efficient operations of his / her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML / ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework.
  • Regulatory Compliance Risk Management Framework, AML / ATF Global Handbook and the Code of Conduct.

  • Champions a high performance environment and contributes to an inclusive work environment.
  • Education / Experience

  • Post-Secondary education and / or professional designations;
  • At least 3 years of related experience in the financial services industry, preferably with a compliance, and / or risk management function;
  • Ability to operate in high performing, flexible and small team environment;
  • Working knowledge of Microsoft Office software and database management;
  • Experience in managing several ongoing assignments and competing priorities concurrently;
  • Strong critical and problem solving skills, and results oriented;
  • Good judgment and attention to detail, researching matters and providing advice and counsel;
  • Ability to communicate clearly and effectively both verbally and in writing;
  • Strong administrative and good project management skills in order to maintain the currency of various data bases and compliance documentation; and
  • Knowledgeable about Scotiabank organizational structure, risk management, operational procedures, and generally understand the business activities, products and services offered by the business units would be an asset.
  • Fluency in Spanish is an asset.
  • Dimensions

  • Enterprise level program that supports all countries, regions and business units
  • Maintains current knowledge of regulatory requirements and monitors advancements in industry standards related to conduct and ethics to guide organizational adaptation and compliance
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