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Director, GBM Operational, Regulatory and 1st Line Reviews and Investigation


This is a Contract position in Toronto, ON posted November 3, 2020.




Requisition ID: 91488


Join the Global Community of Scotiabankers to help customers become better off.



Position Summary:

Designs and implements a fulsome framework, including procedures and reporting to support GBM Management with first-line reviews and investigations from the OTC remediation and queries/issues that may come from the appointed monitor. The role will liaise and collaborate with multiple stakeholders including GBM business lines (Line 1A), Technology, Compliance, Legal and other control, and support functions in the Bank.




•    Conduct comprehensive reviews, analysis and investigations of operational process and control breakdowns across GBM of recordkeeping requirements and incidents with potential regulatory impact;
•    Leads and directs operational and regulatory reviews and investigations and serves as a subject matter expert for these reviews.  
•    Report the results of the reviews, investigations and status of corrective action plans to GBM management and relevant stakeholders;
•    Track issues identified and the corrective action plans until full resolution of investigations and reviews; Assist in the production of relevant, accurate, and comprehensive information in response to regulatory inquiries;
•    Designs and implements control processes across GBM with a focus on recordkeeping requirements.
•    Leads the documentation and maintenance of procedures and standards in collaboration with Compliance, Technology and other control and support functions for recordkeeping requirements; 
•    Coordinate with stakeholders on periodic testing and validation of recordkeeping requirements;
•    Leads in the creation and review of holistic dashboards and reports for GBM senior management and executive committees, including KRI, KPI and other operational risk metrics in collaboration with stakeholders;
•    Act as the escalation point for incidents related to recordkeeping requirements, investigate and develop remediation plans and track through to completion;
•    Coordinate testing and reviews with the 1B testing team;
•    Other duties and projects as may be assigned from time to time.


Education / Experience / Other Information:


•    At least five years’ experience in an operational risk management role;
•    In-depth knowledge of regulatory record keeping requirements for capital markets business; 
•    Expert knowledge of internal controls;
•    Strong written and verbal communications and interpersonal skills.



Location(s):  Canada : Ontario : Toronto 

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.


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.