Senior Analyst - Conduct, GBM&T Compliance

Scotiabank•Dallas, TX

11d

About The Position

The Senior Analyst will support GBM&T Central Compliance programs and initiatives, working closely with the Director, Strategy & Governance Markets Compliance to promote consistent governance, oversight, monitoring, and reporting of employee conduct-related programs. The role contributes to the execution of strategic compliance initiatives, management reporting, stakeholder engagement, and program enhancements while ensuring compliance with applicable regulations, internal policies, and procedures.

Requirements

At least 1-3 years of experience in compliance testing, internal/external audit, business or risk management role in global financial institution.
Exceptional organizational and time management skills are essential for the role.
Excellent communicator in both the written and oral form. Understands how to approach communication from a strategic perspective. Ability to create clear, convincing, and well-organized presentations and communications.
College Degree or international equivalent required.

Nice To Haves

Experience working for a non-U.S. bank and the ability to function effectively in a global matrixed management environment highly desirable.
Familiarity with legal and regulatory requirements applicable to non-U.S. financial institutions engaged in corporate banking and institutional trading & sales activities highly desirable.

Responsibilities

Supports the Director in their role as the Committee Secretary for the GBM&T Compliance Misconduct Committee (“CMC”) and all associated tasks and responsibilities.
Coordinates the activities of the CMC, including the maintenance of the Operating Procedure, reviewing of submissions, and driving smooth and efficient CMC meetings.
Perform ongoing review and propose and implement enhancement to the CMC mandate and supporting processes to improve overall efficiency.
Reporting of KRIs and KPIs as appropriate.
Support audit, compliance testing and regulatory requests for information.
Prepare reporting to various governance forums and stakeholders on the CMC results.
Maintain the CMC data with the utmost confidentiality ensuring information is only accessed on a need-to-know basis.
Identify trends and lessons learned from the CMC processes and deliver impactful, actionable insights to drive employee behavior.
Administer, maintain, and continuously enhance the CMC submission and data management portal and provide ongoing support to users of the portal.
Effectively administer and manage the CMC mailbox and provide ongoing stakeholder support.
Supports the implementation and enhancement of Enterprise Conduct, Risk Culture and Ethics initiatives and programs across GBM&T Compliance.
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.