Manager, U.S. Audit, Compliance (non AML)
- New York, NY
Requisition ID: 92810
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 as part of the US Compliance Audit Team and be responsible for executing Compliance (non-AML) related audits. You will work with the Senior Manager and Director to execute 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 Compliance function. You will assist in all aspects of the audit, including the planning, execution, and reporting phases. The Manager will also be involved in internal and external issue validation as well as audit continuous monitoring activities.
Is this role right for you?
- Leads and drives 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
- Maintain a thorough understanding of the business, risks, and processes for assigned areas and provide effective guidance to the audit teams
- Manage 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
- Ensure 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
- Ensure audit reports are written to a consistent high standard of quality and are finalized/released within established metrics
- Ensure audit findings are adequately documented in the Audit Issues Tracking Database
- Ensure Teammate working paper files are reviewed timely and the audit work is documented according to the established standards
- Maintain effective communication with stakeholders including appropriate handling of conflicts and issue resolution
Do you have the skills you need to succeed? We'd love to work with you, if you have:
- At least 5 years in Compliance, Audit, consulting, or Regulatory body
- Excellent knowledge of Compliance (non-AML) laws, regulations, guidance, and regulatory expectations
- Knowledge of auditing concepts and techniques
- Well-developed judgment, management, decision-making and problem-solving skills
- Strong written and verbal communication skills
- Expert time management skills with the ability to take on multiple projects at one time
- Excellent work paper documentation skills (i.e., thorough/detail-oriented)
- The ability to work independently and within a team environment
- Highly proficient use of Word, Excel, and Powerpoint
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 Bank’s 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. Learn more here .
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.
Nearest Major Market: New York City
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