Compliance Senior Manager


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Non-Executive Management

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Requisition ID: 67374


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The objective of this position is to ensure that the U.S. operations of The Bank of Nova Scotia, Scotia Capital (USA) Inc., and their affiliates (collectively the ?Bank?) have a robust Anti-Bribery and Anti-Corruption (?ABAC?) program, inclusive of policies, procedures, processes and methodologies, in place to satisfy applicable U.S. legal and regulatory requirements/expectations. Specifically, the ABAC Compliance Officer is responsible for the development, implementation, documentation and maintenance of a program for its review and effective challenge of the first and second lines of defense programs for the Bank. The ABAC Officer will be expected to work closely with the Compliance advisory teams as well as all functions within the first and second line. The role will entail substantial coordination with various business units, corporate functions and other teams within the Compliance function.

Key Accountability:

  • Establish and oversee frameworks, programs and policies at the business line level in accordance with best practices and regulatory requirements
  • Maintain independence from the First (and Second where appropriate) Line to keep objectivity in their functions
  • Provide guidance and subject matter expertise to the First Line of Defense
  • Provide effective challenge on the adequacy of First and Second Line risk management activities
  • Perform independent monitoring of ABAC procedures and controls using a risk-based approach
  • Report to Senior Management on Bribery and Corruption risks and the adequacy of key controls to manage those risks
  • Receive (from First Line or Second Line) and report on violations of ABAC Laws/controls on a monthly basis to Enterprise Conduct Risk.
  • Maintain a quality assurance program to oversee the Bribery and Corruption Risk management program and its execution
  • Stay current on all regulatory developments regarding the Foreign Corrupt Practices Act (FCPA) and applicable state laws relating to bribery and corruption and provide advice to the First and Second line
  • Education & Experience:

  • A minimum of 10 years of experience preferably with a major international banking organization.
  • Solid understanding of Federal and State laws and regulations relating to bribery and corruption.
  • Experience with evaluating the design of control environments.
  • Experience in overseeing regulatory change management processes (or similar change management processes).
  • Outstanding written (drafting & editing) and spoken communication abilities.
  • Excellent teamwork, interpersonal and conflict resolution skills.
  • Highly organized and capable of dealing with multiple, complex projects simultaneously.
  • Proficiency with standard computer applications including Word, Excel, and PowerPoint.
  • BA or international equivalent required.
  • * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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