Title:  Senior Manager, GBM&T Compliance Monitoring

Requisition ID: 258588

 Salary Range:  -  

Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, skills, and experience.

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

Global Banking and Markets 

Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. 

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.  

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries!  We work together to drive ambition for every future! 

Purpose

Compliance Monitoring is a key pillar of the Global Banking Markets and Treasury (GBM&T) Compliance Risk Management Program. The Compliance Monitoring Senior Manager is responsible for overseeing the execution of goals, plans, and initiatives that support GBM&T Compliance program objectives and ensures activities are carried out in accordance with applicable regulations and internal policies and procedures.

The GBM&T Compliance Monitoring Program covers global regulatory requirements applicable across Scotiabank’s Capital Markets, Corporate and Investment Banking, Global Transaction Banking, Corporate Functions, and other financial services activities.

What You'll Do

•    Strengthen and evolve the GBM&T Compliance Monitoring framework, including maintaining and updating the Compliance Monitoring Standard and related operating procedures.
•    Support the end to end compliance monitoring lifecycle, including planning, execution, investigation of alerts and breaches, and documentation and reporting of findings.
•    Lead the annual monitoring planning process, coordinating with stakeholders and leveraging risk assessments and test plans to ensure risk aligned coverage.
•    Manage the GBM&T Compliance Monitoring operating model, partnering with key stakeholders to ensure effectiveness, consistency, and sustainability.
•    Provide leadership and direction to the Monitoring program, including prioritization of activities, issue resolution, and decision making in partnership with management.
•    Collaborate across the Compliance Monitoring & Testing community to share best practices, assess emerging trends, and support business case development and approvals.
•    Deliver compliance monitoring training to internal stakeholders to promote awareness, consistency, and quality of execution.
•    Ensure quality assurance and timely completion of monitoring activities, with clear reporting to appropriate governance forums.
•    Leverage data, analytics, and insights to identify trends, control gaps, and areas requiring enhancement across the compliance control environment.

In Addition:

•    Build and maintain strong relationships with internal and external stakeholders to support transformation initiatives and effectively communicate deliverables.
•    Contribute to team effectiveness by ensuring deliverables are in scope, delivered on time, and meet quality expectations.
•    Apply the Bank’s risk appetite and risk culture to day to day activities and decision making.
•    Support the design and implementation of monitoring related processes, identifying and managing cross project dependencies and impacts.
•    Demonstrate strong problem solving and initiative, leveraging creative thinking and effective use of MS Office tools (Word, Excel, Access, PowerPoint), SharePoint, and Power BI.

What You'll Bring

•    Minimum of 5 years’ experience in compliance, audit, or regulatory examination support, with hands on experience in testing and monitoring.
•    Strong knowledge of banking regulatory requirements applicable to financial institutions, including institutional trading and sales, investment banking, investment management, and commercial banking.
•    Demonstrated experience in capital markets or institutional banking environments, including corporate and investment banking, commercial banking, investment management, or related corporate functions (preferred).
•    Strong analytical and judgment skills, with the ability to assess complex regulatory and business issues and identify control gaps or risks.
•    Proven project and stakeholder management capabilities, including the ability to manage multiple workstreams, meet tight deadlines, and coordinate across functions.
•    Excellent communication, collaboration, and relationship building skills, with the ability to work effectively across all levels of the organization.
•    Highly organized and self directed, with the ability to work independently while contributing effectively within team environments.
•    College Degree or international equivalent required.

Interested?

If your experience is closely related but doesn’t align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank! 

At Scotiabank, every employee is empowered to reach their fullest potential, respected for who they are and, embraced for their differences. That’s why we work to grow and diversify talent and engage employees in a performance-oriented culture. 

What's in it for you? 

Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well-being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs. 

#Dallas

#GBM

Location(s):  United States : Texas : Dallas

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.

Scotiabank is an equal opportunity employer.  We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.