Senior Manager, Governance of Inventory Controls

1 week ago

New York, New York, United States Scotiabank Full time

Key Responsibilities:

  • Oversee the creation and continuous upkeep of a comprehensive inventory of controls aligned with regulatory requirements identified by the Compliance team.
  • Develop a supplementary inventory of non-regulatory controls aimed at mitigating operational and other risks within the various Global Banking and Markets (GBM) divisions.
  • Prepare and present regular reports to GBM Management detailing the status of the controls inventory across business lines, including analysis of root causes for control failures and recommendations for corrective measures.
  • Collaborate with GBM teams outside the U.S. to evaluate the implications of extraterritorial regulations on Scotiabank U.S., ensuring proper documentation and control updates in the OpenPages library.
  • Maintain a database of identified issues (both documented and actual) arising from the control mapping process, providing quarterly summary updates to GBM Management.
  • Ensure timely follow-up on outstanding issues and verify that recommended corrective actions have been implemented.
  • Act as a liaison with Internal Audit, second-line testing, or other examiners to facilitate the review of the controls inventory.
  • Engage in regular communication with GBM Compliance to stay informed about changes in regulatory standards and their potential impact on various GBM business units.
  • Analyze regulatory updates from Compliance, ensuring that controls are revised accordingly and identifying root causes to formulate action plans for any identified gaps.
  • Create training materials for business lines and control/support function personnel focusing on non-financial risks, regulations, controls, and the controls library.
  • Update and document key controls in the OpenPages system to reflect the outcomes of internal audits, regulatory findings, compliance testing results, and any self-identified issues.
  • Work collaboratively with stakeholders to identify and address the underlying causes of control failures or inadequacies.
  • Support business lines by addressing inquiries related to internal control matters.
  • Perform additional duties and projects as assigned.

Qualifications:

  • A minimum of 7-10 years of experience in Compliance Advisory, testing, or operational risk management within a Financial Services Firm or Consulting Firm.
  • Extensive knowledge of capital markets operations.
  • Thorough understanding of U.S. regulations, particularly SEC, Federal Reserve Board (FRB) rule books, and SEF regulations.
  • Expertise in internal controls.
  • Exceptional written and verbal communication skills, along with strong interpersonal abilities.
  • Self-driven with experience managing complex projects.

Additional Information:

At Scotiabank, we value diversity and are committed to creating an inclusive environment for all employees. We encourage you to bring your authentic self to work, contributing to a culture that fosters growth and performance.

Benefits:

Scotiabank is dedicated to supporting your well-being through a variety of flexible benefit programs tailored to meet your unique family, financial, physical, mental, and social health needs.

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