Senior Manager, GBM&T Compliance Monitoring
Scotiabank - Global Banking and Markets, Dallas, TX, United States
Purpose
Compliance Monitoring is a key pillar of the Global Banking Markets and Treasury (GBM&T) Compliance Risk Management Program. The Compliance Monitoring Senior Manager is responsible for overseeing the execution of goals, plans, and initiatives that support GBM&T Compliance program objectives and ensures activities are carried out in accordance with applicable regulations and internal policies and procedures.
What You’ll Do
Strengthen and evolve the GBM&T Compliance Monitoring framework, including maintaining and updating the Compliance Monitoring Standard and related operating procedures.
Support the end‑to‑end compliance monitoring lifecycle, including planning, execution, investigation of alerts and breaches, and documentation and reporting of findings.
Lead the annual monitoring planning process, coordinating with stakeholders and leveraging risk assessments and test plans to ensure risk‑aligned coverage.
Manage the GBM&T Compliance Monitoring operating model, partnering with key stakeholders to ensure effectiveness, consistency, and sustainability.
Provide leadership and direction to the Monitoring program, including prioritization of activities, issue resolution, and decision making in partnership with management.
Collaborate across the Compliance Monitoring & Testing community to share best practices, assess emerging trends, and support business case development and approvals.
Deliver compliance monitoring training to internal stakeholders to promote awareness, consistency, and quality of execution.
Ensure quality assurance and timely completion of monitoring activities, with clear reporting to appropriate governance forums.
Leverage data, analytics, and insights to identify trends, control gaps, and areas requiring enhancement across the compliance control environment.
In Addition
Build and maintain strong relationships with internal and external stakeholders to support transformation initiatives and effectively communicate deliverables.
Contribute to team effectiveness by ensuring deliverables are in scope, delivered on time, and meet quality expectations.
Apply the Bank’s risk appetite and risk culture to day‑to‑day activities and decision making.
Support the design and implementation of monitoring related processes, identifying and managing cross‑project dependencies and impacts.
Demonstrate strong problem solving and initiative, leveraging creative thinking and effective use of MS Office tools (Word, Excel, Access, PowerPoint), SharePoint, and Power BI.
What You’ll Bring
Minimum of 5 years’ experience in compliance, audit, or regulatory examination support, with hands‑on experience in testing and monitoring.
Strong knowledge of banking regulatory requirements applicable to financial institutions, including institutional trading and sales, investment banking, investment management, and commercial banking.
Demonstrated experience in capital markets or institutional banking environments, including corporate and investment banking, commercial banking, investment management, or related corporate functions (preferred).
Strong analytical and judgment skills, with the ability to assess complex regulatory and business issues and identify control gaps or risks.
Proven project and stakeholder management capabilities, including the ability to manage multiple workstreams, meet tight deadlines, and coordinate across functions.
Excellent communication, collaboration, and relationship building skills, with the ability to work effectively across all levels of the organization.
Highly organized and self‑directed, with the ability to work independently while contributing effectively within team environments.
College degree or international equivalent required.
Location
Dallas, Texas, United States
What’s in it for you?
Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well‑being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.
Equal Opportunity Employer
Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.
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Compliance Monitoring is a key pillar of the Global Banking Markets and Treasury (GBM&T) Compliance Risk Management Program. The Compliance Monitoring Senior Manager is responsible for overseeing the execution of goals, plans, and initiatives that support GBM&T Compliance program objectives and ensures activities are carried out in accordance with applicable regulations and internal policies and procedures.
What You’ll Do
Strengthen and evolve the GBM&T Compliance Monitoring framework, including maintaining and updating the Compliance Monitoring Standard and related operating procedures.
Support the end‑to‑end compliance monitoring lifecycle, including planning, execution, investigation of alerts and breaches, and documentation and reporting of findings.
Lead the annual monitoring planning process, coordinating with stakeholders and leveraging risk assessments and test plans to ensure risk‑aligned coverage.
Manage the GBM&T Compliance Monitoring operating model, partnering with key stakeholders to ensure effectiveness, consistency, and sustainability.
Provide leadership and direction to the Monitoring program, including prioritization of activities, issue resolution, and decision making in partnership with management.
Collaborate across the Compliance Monitoring & Testing community to share best practices, assess emerging trends, and support business case development and approvals.
Deliver compliance monitoring training to internal stakeholders to promote awareness, consistency, and quality of execution.
Ensure quality assurance and timely completion of monitoring activities, with clear reporting to appropriate governance forums.
Leverage data, analytics, and insights to identify trends, control gaps, and areas requiring enhancement across the compliance control environment.
In Addition
Build and maintain strong relationships with internal and external stakeholders to support transformation initiatives and effectively communicate deliverables.
Contribute to team effectiveness by ensuring deliverables are in scope, delivered on time, and meet quality expectations.
Apply the Bank’s risk appetite and risk culture to day‑to‑day activities and decision making.
Support the design and implementation of monitoring related processes, identifying and managing cross‑project dependencies and impacts.
Demonstrate strong problem solving and initiative, leveraging creative thinking and effective use of MS Office tools (Word, Excel, Access, PowerPoint), SharePoint, and Power BI.
What You’ll Bring
Minimum of 5 years’ experience in compliance, audit, or regulatory examination support, with hands‑on experience in testing and monitoring.
Strong knowledge of banking regulatory requirements applicable to financial institutions, including institutional trading and sales, investment banking, investment management, and commercial banking.
Demonstrated experience in capital markets or institutional banking environments, including corporate and investment banking, commercial banking, investment management, or related corporate functions (preferred).
Strong analytical and judgment skills, with the ability to assess complex regulatory and business issues and identify control gaps or risks.
Proven project and stakeholder management capabilities, including the ability to manage multiple workstreams, meet tight deadlines, and coordinate across functions.
Excellent communication, collaboration, and relationship building skills, with the ability to work effectively across all levels of the organization.
Highly organized and self‑directed, with the ability to work independently while contributing effectively within team environments.
College degree or international equivalent required.
Location
Dallas, Texas, United States
What’s in it for you?
Scotiabank wants you to be able to bring your best self to work – and life, every day. With a focus on holistic well‑being, our many flexible benefit programs are designed to help support your unique family, financial, physical, mental, and social health needs.
Equal Opportunity Employer
Scotiabank is an equal opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other characteristic protected by federal, state, or local law.
#J-18808-Ljbffr