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About the Role
Contributes to Global Compliance by leading and supporting independent quality assurance reviews and quality control activities within the Compliance Quality Assurance Review (QAR) Program. The role assesses the design and operating effectiveness of compliance programs, processes, and controls, promotes consistent execution of compliance testing, and translates results into clear insights, sustainable remediation, and program improvements. The Manager applies a risk-based and data-informed approach to assurance, maintains independence and professional judgment, and collaborates with global stakeholders to enhance the Regulatory Compliance Management Framework, testing practices, governance, and reporting.
Responsibilities
- Lead or support QAR engagements and quality control reviews, including planning, execution, documentation, reporting, and stakeholder validation.
- Assess the design and operating effectiveness of compliance programs, processes, and controls using risk-based assurance techniques.
- Oversee workpaper quality, evidence, test results, conclusions, and review outcomes for clarity, completeness, reproducibility, timeliness, and alignment with methodology.
- Identify deficiencies, exceptions, recurring themes, root causes, and enhancement opportunities, developing practical recommendations for sustainable remediation.
- Develop, maintain, and interpret quality control guides, scripts, templates, evaluation criteria, operating procedures, QAR methodology, governance documents, and supporting tools.
- Prepare concise reports, dashboards, metrics, thematic analyses, and senior management communications.
- Monitor management action plans and perform evidence-based closure validation.
- Deliver training, calibration sessions, knowledge-sharing activities, and practical guidance to enhance testing capability and standards.
- Monitor regulatory developments, program changes, emerging risks, technology developments, data quality concerns, and assurance trends, utilizing data analytics and technology-enabled tools.
- Act as a trusted advisor while preserving objectivity, performing effective challenge, and escalating material concerns, quality issues, and overdue remediation.
- Foster an inclusive, high-performance culture through coaching, feedback, knowledge transfer, workload management, and development planning.
- Conduct activities in accordance with applicable laws and regulations, internal policies, the Bank’s risk appetite, Code of Conduct, values, and requirements relating to operational, compliance, AML/ATF, sanctions, and conduct risk.
Requirements
- Typically 5 or more years of progressive experience in compliance, risk management, quality assurance, compliance testing, internal audit, or a related financial-services assurance function.
- Demonstrated experience planning or leading reviews, evaluating controls, reviewing workpapers, communicating findings, and monitoring remediation.
- Spanish speaking would be an asset.
Skills
- Strong risk-based assurance, compliance testing, quality assurance, quality control, internal audit, and professional judgment capabilities.
- Sound knowledge of regulatory compliance management, governance, issue management, remediation validation, and documentation standards.
- Ability to analyze complex information, identify root causes and systemic themes, and translate findings into practical business insights and recommendations.
- Pro-active mindset and drive continuous improvement by challenging the status quo and applying best practices.
- Strong project management, prioritization, coaching, quality review, and delivery skills in a complex global matrix environment.
- Data literacy, Microsoft 365 proficiency, integrity, discretion, adaptability, attention to detail, accountability, and a continuous-improvement mindset.
- Excellent communication skills both written and verbal.
Location
- Canada : Ontario : Toronto
Work Type
- Full-time
Experience Level
- 5 or more years of progressive experience
Education Level
- University degree in business, finance, accounting, economics, law, data analytics, or another relevant discipline.
- Professional designation or certification such as CPA, CIA, CAMS, CFE, CFA, CRMA, or comparable accreditation is an asset.
About the Company
- 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.
Equal Opportunity
- 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.