Senior Analyst - Internal Control and Global Wholesale Operations, Audit USA

 

 

 

Requisition ID: 192360

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

 

Senior Analyst - Internal Control and Global Wholesale Operations, Audit USA (192360)
 

 

Global Banking and Markets

 

Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. 

 

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.  

 

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries!  We work together to drive ambition for every future! 

 

 

Overview


The Senior Analyst contributes to the overall success of the Audit Department in the US ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives.  As a Senior Analyst, you will ensure all activities conducted are in compliance with governing regulations, internal policies and procedures.
 

You will perform / manage audits to assess the design and operating effectiveness of internal controls relating to capital markets activities within the U.S., and will be required to work independently or as part of the team and assist the Managers and Senior Managers, US Internal Control & Global Wholesale Operations (GWO) Audit to provide audit services to Internal Control and GWO functions within the Bank. You will also support the providing of high quality, value added advisory services to Management as part of the audits or special projects/assignments, while ensuring that audit methodology standards are met.
 

Apart from possessing knowledge in capital market products, internal control, operations and related risk management techniques, the incumbent should be able to apply risk-based auditing standards, practices, techniques, processes, and methodologies to the audit of the internal controls. 
 

 

What You’ll Do
 

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

• Review the control effectiveness for managing risks in trading activities. Assess the trading, sales practices, internal control and GWO controls within 1st line units and overall trading management oversight. 

• Review effectiveness of non-financial risk controls including conduct, operational risk, fraud, and data risk.

• Independently execute testing of assigned section/business processes within an audit review. 

• Asses the effectiveness of 1st line related supervision policies & procedures, communication surveillance program, transaction recording, and end-to-end trade lifecycle controls.

• Work with auditors within the audit department to perform end-to-end business line reviews. Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

   

• Maintain knowledge of 1st line applicable practices, policies and procedures and local regulations. Connecting dots with 2nd line requirements and applicable frameworks and policies for 1st line business units.

• Provide support to stakeholders on 1st line (Internal Control and GWO) issues and/or changes.

• Active engagement and coordination with Stakeholders for audit issue resolution.

• 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. 
   

 

What You’ll Bring

 

• An undergraduate degree, with a concentration in Finance/Business Management/Economics/Technical areas. 

• 2-3 years of relevant experience in audit or capital mark