Senior Manager - Quality Control, GBM Onboarding

Scotiabank•Toronto, ON

8d•Onsite

About The Position

As Senior Manager, Quality Control (GBM Onboarding), you will lead the global quality control function supporting KYC, AML, derivatives, and margin onboarding. You will ensure onboarding files meet regulatory, policy, and control standards across jurisdictions, while overseeing audit, compliance, and testing outcomes and driving continuous improvement across the program.

Requirements

Bachelor’s degree in Finance, Business, Economics, or a related discipline
Prior experience in financial services with a focus on KYC/AML, onboarding, quality control, or regulatory compliance
Strong knowledge of regulatory frameworks impacting onboarding (e.g., AML/Financial Crime, MiFID, EMIR, CFTC, SBS, margin requirements)
Experience with KYC, derivatives, and counterparty onboarding processes within capital markets environments
Experience handling audit, compliance, and regulatory testing reviews, including drafting and validating responses
Understanding of capital markets products, trade lifecycle, and onboarding workflows
Experience identifying control gaps, performing root cause analysis, and implementing corrective actions
Familiarity with onboarding and client lifecycle systems and related data/process flows
Experience supporting regulatory or system-driven changes, including testing and implementation
Experience managing quality control functions, testing programs, or operational risk frameworks

Responsibilities

Lead the Quality Control function for KYC, AML, derivatives, and margin onboarding across GBM
Oversee review and validation of onboarding files to ensure adherence to regulatory requirements, internal policies, and due diligence standards
Manage responses to Audit, Compliance, and first line testing, ensuring accuracy, completeness, and timely delivery
Review testing findings and ensure issues are addressed, documented, and incorporated into process improvements
Partner with Sustainment and onboarding teams to implement corrective actions and enhance quality standards
Drive consistency in quality control practices across global teams and jurisdictions
Identify control gaps, trends, and risk areas through testing outcomes and QC reviews
Lead process improvements to strengthen onboarding quality, controls, and operational efficiency
Support implementation of new regulatory requirements, onboarding frameworks, and program enhancements
Provide oversight of onboarding quality metrics, reporting, and control effectiveness