Senior Audit Manager, Capital Markets


International Banking Client

Office Status:


  • Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture
  • 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
  • Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures
  • The successful candidate will perform / manage audits to assess the design and operating effectiveness of internal controls relating to capital markets activities within the U.S. The incumbent will be required to work as part of the team and assist the Audit Director, US Capital Markets to provide audit services to capital markets, investment banking and/or risk management functions within the Bank, with specific focus and responsibility on Fixed Income, Currencies and Commodities Sales & Trading activity
  • The incumbent will also provide 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 strong knowledge in capital market products and related risk management techniques within Broker Dealer and Bank entities, the incumbent should be proficient in applying risk-based auditing standards, practices, techniques, processes and methodologies to the audit of the internal controls
  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge
  • Act primarily as Officer in Charge (OIC) for assigned projects, processes and units
  • May act as Audit Principal in some low to medium complexity assignments
  • Assess the trading and sales practices controls within Front Office units and overall trading management oversight
  • Ensure Scotiabank standards and the Institute of Internal Auditors (IIA) Code of Ethics are maintained in completion of all assignments
  • Review effectiveness of risk management controls and measurement technique, limit design and monitoring, risk reporting and traded products valuations based on a detailed understanding of the trading strategies and products
  • Ensures audit reports are written to a consistent high standard and are finalized within established department metrics
  • Assess the effectiveness of transaction recording, deal controls and P&L processes
  • 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 strong knowledge of capital markets practices, policies and procedures and local regulations
  • Active engagement and coordination with Stakeholders for audit issue resolution
  • Support the unit’s continuous monitoring program so as 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
  • Creates an environment in which his/her team pursues effective and efficient operations of his/her 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
  • Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviours; communicating vison/values/business strategy; and, managing succession and development planning for the team
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