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Join the Global Community of Scotiabankers to help customers become better off.
Is a member of a world class Advisory team for GBM&T Canada focused on Corporate & Investment Banking, ECM, DCM and Research and their related front, middle and back office support and operational teams. Ensures business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.
Participates as part of a world class Advisory team and program that delivers consistently efficient and effective compliance support to Corporate & Investment Banking, ECM, DCM and Research, including:
Interpretation of Canadian regulatory standards and expectations
Application of Scotiabank internal policies and procedures
Completion and effective challenge of risk assessments, such as NIRAs and CRCAs
Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Supports the Director, Advisory and provides ongoing counsel and advice in all Canadian related compliance matters for Corporate & Investment Banking, ECM, DCM and Research.
Ensures that the policies and advisory procedures for Corporate & Investment Banking, ECM, DCM and Research reflect, at a minimum, all Canadian legislative and regulatory requirements.
Supports the development and implementation of Compliance training programs for Corporate & Investment Banking, ECM, DCM and Research designed to meet regulatory requirements or best practices.
On an ongoing basis, monitors and reports on the state of the GBM Canada Advisory Compliance program for Corporate & Investment Banking, ECM, DCM and Research through regular meetings with business, compliance and control personnel, the preparation and/or review of management information reporting and internal audit/regulatory review results.
Collaborate with Global Compliance counterparts to determine jurisdictional impact of global regulations and policies on GBM&T business lines
Oversees, coordinates and/or assists in the preparation for reviews and information requests related to Corporate & Investment Banking, ECM, DCM and Research from Canadian and International regulatory bodies.
Assists on specific projects (e.g. special investigations, regulatory initiatives etc.).
Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
Creates 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 operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
Motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.
Supports Corporate & Investment Banking, ECM, DCM and Research.
Liaises with other Advisory team members in Toronto.
Key player in the compliance transformation of GBM Compliance Canada operations.
Education / Experience
College Diploma or University Degree
A minimum of seven or more years of relevant experience in a large financial institution or established securities or other financial services activity regulatory agency
Experience working in or with Corporate Banking, Investment Banking, ECM, DCM and/or Research considered an asset
General understanding of Canadian regulatory and industry trends related the skills to translate requirements into efficient and effective, policies, procedures, controls, systems and training
An enquiring mind, excellent judgment, strategic thinking skills and attention to detail
Excellent written and verbal communication skills and a proven ability to develop and implement solutions to complex issues
Location(s): Canada : Ontario : Toronto 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.
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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