Senior Manager, Mutual Fund Dealer Compliance

4 weeks ago

Toronto, Ontario, Canada Scotiabank Full time

Job Description:

Join a purpose-driven team with a strong focus on achieving results in a diverse and high-performing environment. Reporting to the Director at Scotia Securities Inc. (SSI) Compliance, the Senior Manager for Mutual Fund Dealer Compliance oversees the Head Office Review Program to ensure compliance with relevant laws and regulations governing mutual fund sales and dealers. Responsibilities include maintaining and implementing compliance policies, overseeing investigations, reporting to regulatory authorities, and providing input into system initiatives.

Job Responsibilities:

  • Maintaining Regulatory Awareness:
    • Stay up-to-date on dealer regulations through industry associations, seminars, and interactions with regulatory bodies.
    • Provide analysis on regulatory rules and policies, act as a regulatory reference source for SSI, and support Wealth Management Service Centres on regulatory matters.
  • Developing Policies, Practices, Procedures, Systems, and Training Programs:
    • Create and maintain compliance manuals, implement policies and procedures, and monitor training programs for mutual fund registrants.
    • Manage oversight programs, business continuity plans, and evaluate requirements for new product/process implementations.
  • Monitoring and Reporting on Compliance:
    • Oversee Regulatory Investigations, conduct compliance reviews, and report non-compliance issues to management and regulators in a timely manner.
  • Remedying Non-Compliance and Resolving Problems:
    • Recommend and monitor corrective action plans for non-compliance incidents and weaknesses in policies and procedures.
  • Preparation for Regulators/Auditors:
    • Assist in coordinating Regulatory examinations and manage the CIRO Business Conduct Examination process.
    • Participate in projects related to regulatory changes, compliance training, and corrective actions.

Required Skills:

  • Thorough knowledge of securities regulations in Canada, SSI and Bank policies, and investment products.
  • Ability to develop and maintain compliance controls, technology systems, and training programs.
  • Strong communication, decision-making, and management skills.
  • Understanding of risk-based compliance, regulatory requirements, and effective reporting.
  • Proficiency in Microsoft Word, Excel, and PowerPoint.
  • At least 5 years of experience in the securities industry or with a regulator, with relevant certifications.

Benefits:

  • Comprehensive training and ongoing coaching for career development.
  • Opportunity to work in a diverse, innovative, and collaborative team.
  • Competitive rewards package and work-life balance.
  • Potential for career advancement and progression opportunities.

Location: Canada : Ontario : Toronto

Scotiabank fosters a culture of inclusivity and values the unique contributions of each individual. Candidates must apply online to be considered for this role.

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