U.S. Compliance Audit Manager

Scotiabank; Dallas (TX); Hybrid; USD 110,000 - 170,000; Full time

Job summary

Scotiabank in the United States is seeking a Manager, U.S. Compliance Audit to lead the audit program within Global Banking and Markets.

You will drive risk assessment, plan audits, and collaborate with management to strengthen internal controls. The role requires at least 5 years in compliance, audit, or regulatory fields; strong knowledge of non-AML regulations; and excellent communication, leadership, and documentation skills.

Qualifications

• 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).

Responsibilities

• 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

Skills

Compliance knowledge

Audit

Regulatory expectations

Risk assessment

Communication skills

Time management

Documentation

Team leadership

Microsoft Office

Tools

Word

Excel

PowerPoint

Job description

Scotiabank in the United States is seeking a Manager, U.S. Compliance Audit to lead the audit program within Global Banking and Markets.

You will drive risk assessment, plan audits, and collaborate with management to strengthen internal controls. The role requires at least 5 years in compliance, audit, or regulatory fields; strong knowledge of non-AML regulations; and excellent communication, leadership, and documentation skills.