Purpose

Contributes to the overall success of the GBM&T Compliance in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. A member of a world class Advisory team for GBM&T Compliance Canada. Focused on the Bank of Nova Scotia's Global Banking & Markets (GBM) business and Group Treasury (GT) function in Canada. Ensures business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies, and procedures.

• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.

• Participates as part of a world class Advisory team and program that delivers consistently efficient and effective compliance support to GBM and GT in Canada.

• Supports the Director, Advisory and provides ongoing counsel and advice in all compliance matters for GBM and GT in Canada.

• Ensures that the policies and advisory procedures for the GBM and GT in Canada reflect, at a minimum, all Canadian legislative and regulatory requirements.

• Supports the development and implementation of Compliance training programs for GBM and GT in Canada designed to meet regulatory requirements or best practices.

• On an ongoing basis, monitors and reports on the state of the compliance program for GBM and GT in Canada through regular meetings with business, compliance and control personnel, the preparation and/or review of management information reporting and internal audit/regulatory review results.

• Assists on specific projects (e.g. special investigations, regulatory initiatives etc.).

• Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.

• Motivates their team(s) and creates an environment conducive to pursuing effective and efficient operations, while ensuring adequacy, adherence and effectiveness of day-to-day business controls, including obligations related to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, and including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.

• Motivates their team by fostering an inclusive work environment, communicating vison/values/business strategy and managing succession and development planning for the team.

• Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.

• Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.

• Champions a high-performance environment and contributes to an inclusive work environment.

Education/Experience

• College Diploma or University Degree

• Minimum of seven or more years of relevant experience, including in asset and pension management, in a large financial institution or established securities or other financial services activity regulatory agency

• General understanding of OSFI guidelines and the principles of prudential regulation.

• General understanding of Canadian regulatory and industry trends with demonstrated skill in translating requirements into efficient and effective, policies, procedures, controls, systems, and training

• Enquiring mind, excellent judgment, strategic thinking skills and attention to detail

• Excellent written and verbal communication skills

• Proven ability to develop and implement solutions to complex issues

• Ability to learn and adapt to rapidly changing regulatory and business environments