Manager, Enterprise Regulatory Programs - Global Compliance

Scotiabank•Toronto, ON

2d•Onsite

About The Position

This role contributes to the overall success of the Enterprise Volcker Compliance Program and the mandate of the Enterprise Regulatory Programs team, in compliance with governing regulations as well as internal policies and procedures. The role allows the incumbent to learn about and work with different business lines and stakeholders across Scotiabank’s global footprint, while gaining compliance experience.

Requirements

BA or Postgraduate degree with a minimum of 3 years of relevant experience in Regulatory Compliance, Business Risk Management or related roles.
Highly organized and capable of managing multiple priorities with competing timelines.
Strong ability to prioritize, track and communicate progress on deliverables to stakeholders and management.
Proficient in Microsoft Office suite of products, including but not limited to: Co-Pilot, PowerPoint, Word (including macros), Excel, Visio.
Ability to proactively take ownership and work independently within guidelines, policies, directives and established precedent.
Strong analytical, organizational, and investigative skills, with exceptional attention to detail.
Excellent teamwork, interpersonal and conflict resolution skills.
Excellent written and verbal communications skills and show comfort interfacing with senior stakeholders across numerous functional groups (e.g. Front Office, Risk etc.).

Nice To Haves

Strong financial markets product knowledge across multiple asset classes and Volcker experience is an asset.

Responsibilities

Assist with maintaining, updating and implementing Volcker related policies and procedures, including the Volcker program status update, desk change management process, breach management process, recordkeeping and other Volcker Compliance Program documentation and processes.
Coordinate the annual Volcker training process in relation to preparation of materials, identification of Volcker personnel requiring training, reconciliation and other training-related activities.
Review and update the Volcker Enterprise Controls Requirements and Desk and Legal Entity Inventory based on self-identified enhancements, changes in the rule, changes in Business Lines activities and/or testing or audit feedback.
Ensure the Volcker Enterprise Recordkeeping Index and artifacts are updated and stored on the central Volcker recordkeeping repository.
Coordinate and assist with the creation, implementation and review of reports, review schedules and meeting materials, communication of timelines with relevant stakeholders and otherwise ensuring related Enterprise Regulatory Programs deliverables are completed.
Assist with responses to testing, audit or regulatory inquiries or findings and facilitates remediation of any identified deficiencies in the Volcker Compliance Program or for other regulatory initiatives.
Support the Senior Manager with Volcker advisory activities through regulatory interpretation and guidance as required.
Assist with ongoing efforts to increase the effectiveness, efficiency and sustainment of the Volcker Compliance Program, including through system enhancements and process reviews.
Assist the Director and Senior Manager with other Enterprise Regulatory Programs responsibilities, as required, to fulfill the team’s mandate and comply with Regulatory Compliance Management requirements.
Foster and promote team spirit and build effective working relationships with stakeholders.
Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursue 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.
Champion a high-performance environment and contribute to an inclusive work environment.