Title:  Compliance Analyst, Canadian Banking Compliance Monitoring

Requisition ID: 255084 

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

Purpose

Contributes to the success of the Canadian Banking Compliance (CBC) Program in Canada, ensuring specific individual goals, plans, and initiatives are executed and delivered in support of business strategies and objectives. 

Performs monitoring activities across Canadian Banking (CB), Global Operations (GO), and Global Wealth Management (GWM) to support the identification, monitoring, and reporting of compliance risk, and provides BCP and administrative and operational assistance for the CBC Program.

Accountabilities

• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• • Protects the Bank and supports client primacy through effective monitoring and oversight activities.
  • Leverages Bank relationships, systems, and knowledge to enhance risk identification and continuously improve the CBC Monitoring Program.
• Supports strategies and initiatives to assist with steadily improving and enhancing the CBC Monitoring Program.  

• Supports strategies and initiatives to strengthen and enhance the CBC Monitoring Program.
• Supports processes to ensure the CBC Monitoring Program meets deliverables related to Sales Practices & Conduct, Complaint Handling, and Branch Closures by:
  • Conducting monitoring activities across applicable Canadian Banking (CB), Global Operations (GO), and Global Wealth Management (GWM) stakeholders.
  • Analyzing monitoring data (including call monitoring and RCIs) to identify trends, gaps, and potential compliance risks, escalating as appropriate.
  • Supporting committee and business unit reporting through analysis.
  • Completing ad‑hoc and focused monitoring reviews and other assigned projects.
• Assists with reporting obligations to the Financial Consumer Agency of Canada (FCAC) and/or the Authorité des marchés financier (AMF) and responses to their enquiries, information requests and examinations.

• Contributes to sustainment of the CBC Monitoring program through maintenance of relevant documentation such as its Handbook, Standard Operating Procedures (SOPs), working papers, reports, and any other documents as required.
• Provides Business Continuity Planning (BCP) support for the Program Mgt & Monitoring team, including BCP documentation and support for reviews, testing, and BCP‑related requests; and provides administrative and operational support, including meeting coordination, deliverables tracking, and support for reporting and governance activities.
• Builds and maintains effective relationships with stakeholders and business partners to support an integrated risk framework, including participation in discussions on regulatory obligations, Bank policies, procedures, and monitoring results.
• 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 their respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
• Champions a high-performance environment and contributes to an inclusive work environment.

Education/Experience

• 2+ years of experience in financial services, compliance, risk management, or a regulated operational environment.
• Post‑secondary education in Business, Finance, or a related discipline.
• Strong analytical, communication, and documentation skills, with the ability to identify trends and issues from monitoring data.
• Working knowledge of Canadian Banking regulations, products, delivery channels, and internal policies and procedures.
• Ability to build effective working relationships and support cross‑functional coordination.
• Experience supporting regulatory, governance, or business continuity processes is considered an asset.

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.