Audit Manager, Global Compliance Audit

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Seeking a detail‑oriented Audit Manager with significant experience in one of the three lines of defense; experience in Compliance and Audit is preferred. As the 3rd Line of Defence, Internal Audit provides enterprise‑wide, independent, and objective assurance over the design and operations of the Bank’s internal controls, risk management and governance processes. The Auditor contributes to the overall success of the Audit Function, supporting the Audit Department in executing its global mandate and ensuring that audit plans, goals and initiatives are delivered in line with the team’s business strategies and objectives.

The successful candidate will perform and manage audits to assess the design and operating effectiveness of internal controls relating to Global Banking Markets and Treasury Compliance activities globally. The incumbent will work as part of the team and assist Senior Managers and/or Directors in delivering audit services to capital markets and/or treasury functions within the Bank. The incumbent will also provide high‑quality, value‑added advisory services to Management during audits or special projects, ensuring that audit methodology standards are met.

• Champion a client‑focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
• Manage and/or support the Officer in Charge (OIC) with the execution of assigned audits; work with other audit teams as required.
• Have working knowledge of Trade Surveillance Compliance Audit as an asset.
• Understand how the Bank’s risk appetite and risk culture should be considered in day‑to‑day activities and decisions.
• Ensure Scotiabank standards and the Institute of Internal Auditors (IIA) Code of Ethics are maintained in completion of all assignments.
• Execute, plan and report on the assigned audit projects; obtain a thorough understanding of the business/unit/process and associated risks, develop a risk‑based audit plan/procedure, and schedule timing and resources.
• Assure audit results are gathered and assessed for their impact on the internal control framework; confirm findings with the auditee and discuss root cause with the OIC.
• Support the unit’s continuous monitoring program to understand and identify changing conditions within business, risk and corporate functions, keep abreast of changing risk profiles, guide assessment of emerging risks, identify systemic issues and determine current and future audit requirements.
• Actively engage and coordinate with stakeholders for audit issue resolution.
• Review the control effectiveness for managing risks in compliance activities.
• Ensure audit reports are written to a consistent high standard and are finalized within established department metrics.
• Manage self‑development by confirming/communicating job expectations, identifying mentors/coaches and enquiring about training needs, ensuring timely completion of performance appraisals and managing assigned staff.
• Maintain a thorough understanding of compliance risks and processes; keep abreast of key industry developments and regulatory changes.
• Ensure timely completion of audit assignments with adherence to internal audit methodology standards.
• Maintain stakeholder relationships to successfully carry out audit activities.
• Meet department training requirements.
• Be accountable for specific work in assigned audits.
• Be expected to work independently and within a team environment; the management of audits will be guided by the Senior Managers, though the incumbent is expected to exercise initiative, judgment, and self‑direction in meeting objectives and solving problems.
• Support the Global Compliance Audit team in a risk‑based execution of the audit plan, interact with senior compliance stakeholders, and collaborate with multidimensional teams executing compliance audits.
• Support continuous monitoring and identify emerging risks/themes within the audit universe and assess impact on audit plan.
• Be associated with tight adherence to non‑negotiable deadlines; all unforeseen delays must be…