Senior Manager, Global Compliance Quality Assurance

Requisition ID: 279215

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Leads and oversees the Quality Assurance program within Global Compliance by providing independent, risk-based assessment and quality oversight of compliance programs, testing activities, processes, and controls.

The Compliance QA Program is responsible for independently assessing the design and operational effectiveness of the Bank’s Regulatory Compliance Management Framework by Global Compliance functions worldwide. QA reviews results inform key compliance risk and performance metrics and are leveraged to drive program and process improvement across Global Compliance.

Accountabilities

• Lead the planning, execution, and reporting of risk-based Quality Assurance reviews including scope, evaluation criteria, testing procedures, timelines, resources, and clear, evidence-based conclusions.
• Oversee the quality and consistency of Compliance assurance activities by reviewing workpapers, results, reports, and supporting documentation for adherence to approved methodologies, operating procedures, documentation standards, internal policies, and regulatory expectations.
• Analyze results to identify recurring themes, systemic issues, emerging risks, root causes, and improvement opportunities; validate observations with process and program owners; and communicate practical recommendations and implications to senior management and governance committees.
• Monitor corrective actions, support remediation of internal, external, and regulatory issues, and perform issue closure validation, as applicable, to assess whether actions appropriately address the identified concern.
• Develop and enhance Quality Assurance methodologies, risk assessments, operating procedures, guidance, tools, templates, training, and quality standards to support consistent execution across teams.
• Prepare timely management information, including key risk and performance indicators, thematic reporting, and insights that support risk-based decisions, program oversight, and continuous improvement.
• Partner with Compliance 2B and 2A stakeholders to support enterprise initiatives and provide constructive challenge as a trusted advisor.
• Identify technology and data enhancements for Quality Assurance including workflow, documentation, analytics, reporting, and issue-tracking capabilities.
• Maintain awareness of regulatory developments, business and process changes, emerging risks, and industry practices, and assess their impact on the Quality Assurance universe, annual plan, risk assessment, and methodology.
• Promote effective operations and appropriate business controls, by considering the Bank’s risk appetite and risk culture, with applicable operational, regulatory compliance and conduct risk requirements.
• Build and sustain an inclusive, high-performing team by setting clear expectations, coaching and developing employees, managing performance and succession, and fostering a client-focused culture that leverages broader Bank relationships, systems, and knowledge.

Education/Experience

• Bachelor’s degree in business, Law, or relevant Social Science (e.g., Economics)
• Minimum of 5 years of relevant compliance or risk management experience in a large, international bank and/or an established securities regulatory agency
• Knowledge of regulatory compliance management frameworks, Canadian regulatory expectations, including OSFI Guideline E-13, risk-based assurance and testing methodologies, internal controls, issue management, regulatory reporting, and corporate governance.
• Demonstrated experience leading complex reviews or testing engagements, assessing process and control design and effectiveness, reviewing work papers, identifying themes and impacts, and communicating clear conclusions and practical recommendations to senior stakeholders
• Strong strategic, analytical, problem-solving, and critical thinking skills
• Proven people leadership, coaching, and stakeholder management skills, with the ability to collaborate across regions, business lines, corporate functions, and multidisciplinary teams in a complex global matrix organization
• Strong proficiency with Microsoft Office and familiarity with compliance, testing, workflow, data analytics, reporting, and issue management platforms; OpenPages experience is an asset.

Location(s):  Canada : Ontario : Toronto 

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.  

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.