Senior Manager, US Audit, Swap Dealer Compliance
4 weeks ago
Title: Senior Manager, US Audit, Swap Dealer Compliance
Requisition ID: 93952
Join the Global Community of Scotiabankers to help customers become better off.
The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank. Its mandate is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and to provide advisory services designed to improve the Bank's operations.
You will be working directly as part of the Compliance Audit Team and be responsible for staffing, and in some cases leading (Officer-in-charge) Compliance audits. You will assist in managing the planning, execution, and reporting of assigned audits in accordance with department standards. In addition, you will support the Director in determining the overall swap dealer compliance audit plan and strategy over the Compliance function in the U.S.
You will be required to have knowledge of the design and operation of internal controls related to the swap dealer compliance controls, advisory, and testing for US-based banking and broker dealer institutions. Knowledge of capital markets products (including swaps) and associated risks related to the Swap Dealer and other Broker Dealer, Bank Operations, and/or market abuse/market manipulation will be an asset.
You will work with Director and senior team members to lead swap dealer compliance audits to assess the design and operational effectiveness of internal controls, adherence to regulatory requirements and Bank policies, and the efficiency and effectiveness of operations of the US Compliance Function.
* Leading and driving a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge
* Identify systemic and emerging issues and strategic changes planned/undertaken by the auditees that will impact the audit plan, including review of business/strategic plans, review and update the Risk Assessment database for entities assigned, attend periodic meetings with key management officers to understand changes and new business initiatives and review key performance indicators
* Maintaining a thorough understanding of the business, risks and processes for assigned areas and provide effective guidance to the audit teams
* Managing appropriately the prioritization of testing activities using a risk-based approach to ensure scope and extent of work is in accordance with the approved plan, timing and budget are reasonable, appropriate resources are assigned, risks are understood and the nature and extend of testing is adequate to support the audit findings and conclusions
* Ensuring internal control weaknesses are identified; errors are quantified as applicable, associated impact is defined, documented and reported, the identified issues are clearly understood and the appropriate actions are taken by management
* Ensuring audit reports are written to a consistent high standard of quality and are finalized / released within established metrics
* Ensuring audit findings are adequately documented in the Audit Issues Tracking Database
* Ensuring Teammate working paper files are reviewed timely and the audit work is documented according to the established standards
* Maintaining effective communication with stakeholders including appropriate handling of conflicts and issue resolution
* 7-10 years in Compliance, Compliance Audit, Regulatory body or related Swap Dealer compliance experience
* Expert knowledge of the Bank's Swap Dealer Compliance framework, structure, programs, key regulations/regulators (Dodd Frank Act, CFTC/NFA requirements), and systems
* Knowledge of auditing techniques, tools, and software
* Strong written and verbal communication skills, including ability to present and negotiate audit findings to management, are essential.
* The ability to be a self-starter - take initiative, deal well with ambiguity, and be detail oriented
Location(s): United States : New York : New York City
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 Banks six guiding sales practice principles to ensure they act with honesty and integrity.
We strive to create an inclusive culture where every employee is empowered to reach their fullest potential, respected for who they are, and their differences and similarities are embraced.
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 . 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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