ScotiaMcLeod Senior Manager, Supervision and Audit Requisition ID: 224617 As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. When you join ScotiaMcLeod, you’ll be empowered to deliver Enriched Thinking®, a unique approach that incorporates your client’s thinking, as well as our thinking, to drive results. You’ll work with a team of specialists to deliver a client-centric approach to wealth management, enabling you to consider all the facets of your client’s life, family and business. With a focus on total wealth planning, and wealth specialists to help you deliver on this unique value proposition, you’ll be enabling clients to see not just the big picture, but all the little ones too. **Purpose:** The Senior Manager, Supervision & Audit Assists the Director, National Supervision & Regulatory Affairs with compliance oversight functions within ScotiaMcLeod, ensuring that the business’ domestic day-to-day business activities are compliant with all external regulators and aligned with internal risk policies. **WHAT YOU'LL BE DOING** In this role you will: + Manage compliance implementation with senior management and functional areas by effectively collaborating with all support teams, senior management, and the field to ensure that the strategic approach is aligned with compliance requirements. + Act as one of the primary liaisons for CIRO audits and internal audits. + Maintain a thorough understanding of compliance risks and processes, including staying abreast of key industry and regulatory changes. + Maintain relationships with Internal Audit (3rd Line) and Enterprise Compliance (2nd Line), audit teams and other stakeholders. + Train Branch Management teams on new and existing policies and procedures related to Branch Testing. + Proactively identify, potential and actual compliance issues and concerns, participate in addressing those concerns identified, conduct the necessary follow-up inquiries and reviews, and ensure that appropriate corrective actions are implemented in a timely manner. + Participate in all aspects of compliance and the identification of actions or changes in policy and/or procedures in order to remediate non-compliance in the business. + Implement and drive results by working with internal stakeholders and support groups to satisfy both the compliance and the risk management frameworks, along with developing plans to ensure the effectiveness of ScotiaMcLeod’s branch network. + Support increased use of Data Analytics through the Power BI system and NIAD system. **DO YOU HAVE THE SKILLS** We'd love to work with you if you have: • University Degree in Business, Finance or Related Area of Study. • Completion of the following: Canadian Securities Course (CSC), Conduct & Practices Handbook (CPH), Branch Manager’s Qualifying Exam, and Partners, Directors & Officers (PDO). • 7-10 years of previous experience in compliance oversight and resolving audit findings. • Expert analytical and problem- solving capabilities. • Highly developed influencing and communication skills. • Proven track record of meeting deliverables and managing budgets. • Prior experience and knowledge in brokerage. **WHAT'S IN IT FOR YOU** + At ScotiaMcLeod we help employees build their futures – where they can be themselves, and win together. With a commitment to diversity and inclusion and a performance-oriented culture that includes coaching, learning, and development – there are endless possibilities. At ScotiaMcLeod– you can make an impact. You help make the futures of our 25 million customers happen. You can find your future here. + The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers. + An organization committed to making a difference in our communities– for you and our clients. + An inclusive working environment that encourages creativity, curiosity and celebrates success. + Learning and Development – free access to Scotia Academy to upskill and develop your skills Location(s): Canada : Ontario : Toronto Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets. 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, pleaseclick here (https://www.scotiabank.com/careers/en/careers/technical-support-for-applicants.html) . 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.