Toronto Employment Platform

Senior Manager, Regulatory Compliance Management

Requisition ID: 105522Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.




Participates in a team responsible for the execution of the Internal Control Program, including compliance and conduct risk management, in IB sites. This position oversees and advises a portfolio of local Internal Control teams in their execution of key priorities of the Internal Control Program, including, amongst others, Operational and Compliance initiatives, Sales Conduct and Risk Culture and Conduct Risk activities.  It manages key relationships for the IB Internal Control group, helping ensure business strategies, plans and initiatives are executed and delivered in compliance with governing regulations, and Scotiabank’s ethical conduct standards, policies and procedures. 
Location(s): Canada; Toronto: Ontario





•    Participates in a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
•    Participates in a team responsible for the relationships within IB sites within a portfolio of countries and/or initiatives, ensuring compliance and conduct principles form part of the design of those initiatives and that ongoing operations of jurisdictions remain compliant.
•    Keeps abreast of regulatory and industry developments globally to ensure operational risk, compliance and conduct risks are being properly managed and mitigated.  The position should identify opportunities in technology and/or process improvements that could improve the effectiveness or efficiency of the Internal Control program.   
•    Ensures comprehensive understanding and ongoing monitoring of the status of jurisdictions and initiatives within a portfolio.   This includes participation in working groups and other oversight processes. 
•    Ensures reporting to local and divisional CORE and Risk Culture & Conduct Risk Committees is accurate, timely and reflects an ongoing commitment to continued improvement of KPI’s and KRI’s.
•    Collaborates with the rest of the IB Internal Control team; local Compliance teams; GWM, GBM&T and CB Internal Control teams to ensure Scotiabank Internal Control teams have coordinated, efficient and effective programs in IB.
•    Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
•    Participates in an environment in which his/her team 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 regulatory compliance risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, Privacy Risk Framework, and the Code of Conduct.
Acts as a liaison between 2nd line and First Line regarding the Compliance Transformation. 
•    Champion for the country’s Compliance Transformation program ensuring its effectiveness, being responsible for supporting the governance framework, providing support to business lines through escalations, monitoring program breaches or gaps, reviewing controls as required and developing procedures to monitor and report the effectiveness of the AML Program  in the countries


Requirements & Qualifications:


•    Post-secondary education with relevant experience in the financial services industry, preferably within a business line, regulatory compliance, operations, technology, audit or risk management function
•    Ability to operate in a high performing, flexible and small team environment
•    Strong knowledge of banking regulations, products & services, technology and operations in an international setting
•    Strong analytical and communication skills, and a result oriented and data driven approach in decision making
•    Ability to communicate in both English and Spanish 
•    Experience with providing insights to and interacting with the business
•    Experience using analytics to identify areas of risk and opportunities for improvement


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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