Toronto Employment Platform

Manager, U.S. Audit, Compliance (non AML)

Requisition ID: 92810Join the Global Community of Scotiabankers to help customers become better off.


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 to provide advisory services designed to improve the Bank’s operations.

You will be working as part of the US Compliance Audit Team and be responsible for executing Compliance (non-AML) related audits. You will work with the Senior Manager and Director to execute Compliance audits to assess the design and operational effectiveness of internal controls, adherence to regulatory requirements and Bank policies, and the efficiency and effectiveness of operations of the Compliance function. You 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.


Is this role right for you?

Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
Identify systemic and emerging issues and strategic changes planned/undertaken by the auditees that will impact the audit plan, including review of business/strategic plans, review and update the Risk Assessment database for entities assigned, attend periodic meetings with key management officers to understand changes and new business initiatives, and review key performance indicators
Maintain a thorough understanding of the business, risks, and processes for assigned areas and provide effective guidance to the audit teams
Manage appropriately the prioritization of testing activities using a risk-based approach to ensure scope and extent of work is in accordance with the approved plan, timing, and budget are reasonable, appropriate resources are assigned, risks are understood, and the nature and extend of testing is adequate to support the audit findings and conclusions
Ensure internal control weaknesses are identified, errors are quantified as applicable, associated impact is defined, documented and reported, the identified issues are clearly understood and the appropriate actions are taken by management
Ensure audit reports are written to a consistent high standard of quality and are finalized/released within established metrics
Ensure audit findings are adequately documented in the Audit Issues Tracking Database
Ensure Teammate working paper files are reviewed timely and the audit work is documented according to the established standards
Maintain effective communication with stakeholders including appropriate handling of conflicts and issue resolution

Do you have the skills you need to succeed? We’d love to work with you, if you have:

At least 5 years in Compliance, Audit, consulting, or Regulatory body
Excellent knowledge of Compliance (non-AML)  laws, regulations, guidance, and regulatory expectations
Knowledge of auditing concepts and techniques
Well-developed judgment, management, decision-making and problem-solving skills
Strong written and verbal communication skills
Expert time management skills with the ability to take on multiple projects at one time
Excellent work paper documentation skills (i.e., thorough/detail-oriented)
The ability to work independently and within a team environment
Highly proficient use of Word, Excel, and Powerpoint

Location(s):  United States : New York : New York City 

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.


We strive to create an inclusive culture where every employee is empowered to reach their fullest potential, respected for who they are, and their differences and similarities are embraced. Learn more here.

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.

Only candidates can apply for this job.
Share this job

About Us

Talent Portal is a Toronto-based Job Board and Employment Platform. We are dedicated at helping talents reach their dream career.Candidates can search for jobs and set job alerts to receive new job notifications via email; Employers can post jobs online, and receive applications via email. It is free for both employees and employers.

Company Search

Social Networks