Scotiabank

Manager, U.S. Compliance Audit

Scotiabank • $108K — $130K *
Dallas, TX 75217In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years of experience in Compliance, Audit, consulting, or regulatory body
  • Strong understanding of non-AML compliance laws and regulations
  • Familiarity with auditing concepts and techniques
  • Exceptional decision-making and problem-solving skills
  • Excellent written and verbal communication skills
  • Proficient in Microsoft Word, Excel, and PowerPoint
  • Detail-oriented with strong documentation skills

Responsibilities

  • Lead initiatives to foster a customer-focused culture within the audit team
  • Identify and assess systemic and emerging issues affecting the audit plan
  • Maintain comprehensive knowledge of business processes and associated risks
  • Prioritize audit testing activities based on a risk-based approach
  • Identify and document internal control weaknesses and recommend corrective actions
  • Ensure audit reports meet high-quality standards and are timely finalized
  • Maintain clear documentation of audit findings in the Audit Issues Tracking Database

Benefits

  • Opportunity for professional growth within the compliance and audit fields
  • Access to a network of banking and industry professionals
  • Potential to support innovative business initiatives
  • Collaborative team-oriented work environment
  • Flexible working arrangements
Full Job Description
Purpose

Contributes to the overall success of the Compliance Corporate Audit function in the U.S. to ensure specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives. 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. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

What You'll Do

  • 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


What You'll Bring

  • At least 5 years' experience 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

Interested?

If your experience is closely related but doesn't align perfectly with every qualification, we do encourage you to apply - you might be the right candidate for this or other roles at Scotiabank!

#GBM

About Scotiabank

Scotiabankers are committed to helping individuals, companies, and communities to thrive in a changing world. From personal and business banking, brokerage, and insurance, to private wealth, and the most sophisticated commercial, corporate and institutional services, they serve the diverse needs of some 21 million customers in more than 55 countries. Founded in 1832 in Halifax, Nova Scotia, their growth has always been fuelled by the success of their customers and their longevity secured by an unshakable commitment to carefully and expertly managing risk and capital. That focus on doing what's right for customers—short- andlong-term—has made us a global financial services leader. Headquartered in Canada, they are over 86, 000 Scotiabankers strong. Each of us are committed to being the best at understanding their customers' needs and all of us working together to deliver practical advice and relevant solutions that help their customers become financially better off.

Scotiabank Careers

Join Scotiabank, a premier financial institution, and become part of a diverse and inclusive team that’s leading the way in global banking. At Scotiabank, we offer more than just job opportunities; we provide a platform for professional growth and innovation in the financial services industry.

Work You’ll Do

At Scotiabank, we’re not just filling positions; we’re cultivating leaders. Dive into a workplace where diversity training and leadership development shape the path to your future. Our commitment to professional growth is evident in our robust training programs and continuous learning opportunities that foster innovation and strategic thinking.

Explore a World of Opportunities

Whether you’re looking for a full-time position, an internship, or a leadership role, Scotiabank has a spectrum of opportunities to fit your career ambitions. Our team is composed of individuals who bring a wealth of skills and perspectives to our company, driving us forward with their creativity and strategic insights.

Innovative Work Environment

Scotiabank’s culture is one of collaboration and respect, where each team member’s contribution is valued. Engage in meaningful work that challenges you to leverage your skills and push the boundaries of what’s possible in the banking sector. Our innovative projects not only support the growth of the company but also ensure our position as a leader in the industry.

Benefits and Growth

Choosing a career at Scotiabank means opting for a life of growth and opportunity. Our employees enjoy competitive benefits, including comprehensive health coverage, retirement plans, and flexible working conditions, all designed to support your career and personal life. We believe in nurturing our team’s potential by providing them with the tools they need to succeed both professionally and personally.

Join Our Team

Ready to take the next step in your career? Explore the job opportunities at Scotiabank by searching our open positions that match your skills and interests. We are continuously hiring and looking for passionate, curious, and solution-driven team players.

Networking and Professional Development

Stay connected and advance your career through Scotiabank’s extensive networking opportunities. Participate in events that connect you with other professionals and leaders within the industry. Our career resources will help you prepare your resume, ace your interviews, and land the job that best suits your career goals.

Stay Ahead

Keep up to date with the latest in career tips, industry insights, and company news—all from the people who work here at Scotiabank. Personalize your experience by subscribing to job alert emails tailored to your preferences and be the first to know about new openings and exciting developments. Join Scotiabank and be part of a team that values integrity, respect, and accountability. Discover how your career can flourish in an environment committed to your professional development and personal growth.
Learn more about Scotiabank
Size
90,619 employees
Market Cap
$57.5 billion
Industry
Finance & Insurance
5 Year Trend
+7%
NASDAQ
BNS
* Ladders Estimates

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