Senior Manager, Mutual Fund Dealer Compliance

4 weeks ago

Old Toronto Ontario, CA Scotiabank Full time

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

Purpose

The Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable to mutual fund sales and dealers.

Specific aspects of the Compliance Program include development/maintenance and implementation of supporting policies, procedures, manuals, guides, etc.; oversight of Regulatory investigations and reporting as required; oversight of service providers/support units; and reporting to regulatory authorities and management.

The Senior Manager also assists the Chief Compliance Officer (CCO) in providing reasonable assurance to Senior Management and the Scotia Securities Board of Directors that Scotia Securities, as a mutual fund dealer, complies in a cost effective manner with governing securities regulations and internal policies and procedures.

Accountabilities
  1. Maintaining Regulatory Awareness:
    • Maintain current knowledge of applicable and proposed dealer regulations.
    • Provide analysis and recommendations for implementation of CIRO rules and policies.
    • Act as a reference source regarding regulations and legal issues applicable to SSI's dealer operations in Canada.
    • Provide support to branches/Wealth Management Service Centres regarding regulatory matters.
  2. Developing Policies, Practices, Procedures, Systems and Training Programs:
    • Develop and maintain the Investing Manual and other manuals, guides and notices.
    • Document and assist with the implementation of compliance policies and procedures.
    • Assist with the development and monitoring of training programs for mutual fund registrants.
    • Assist in evaluating requirements/policies for new product and/or process implementations.
  3. Monitoring and Reporting on Compliance:
    • Oversee effective investigation of Regulatory Investigations.
    • Conduct regular internal review of compliance department processes.
    • Monitor oversight program and complaint program.
    • Conduct compliance reviews to ensure the effectiveness of operational controls.
  4. Remedying Non-Compliance and Resolving Problems:
    • Recommend and monitor the progress of implementing appropriate action plans to correct incidents of non-compliance.
    • Investigate serious non-compliance matters.
  5. Preparation for Regulators/Auditors:
    • Assist with the co-ordination/management of any Regulatory examinations.
    • Provide input into any proposed new or amended regulation.
Education/Experience

The incumbent should have a thorough, current knowledge of securities and other relevant regulations applicable to the sale and distribution of mutual funds in Canada. An undergraduate degree and at least 5 years related experience in the securities industry or with an industry regulator is required. A Law Degree would be an asset.

The Senior Manager should have completed the following IFSE courses, or equivalent: Canadian Investment Funds Course, Branch Managers Examination Course, the Officers’ Partners’ and Directors’ Examination, and CIRO Dealer Compliance Course.

The individual must be acceptable to the CIRO as an Alternate Chief Compliance Officer.

Location(s): Canada : Ontario : Toronto

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone.

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