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Regulatory Manager, Marketing Communications

2 months ago

Ottawa, Ontario, Canada MD Financial Management Full time

Requisition ID: 202426

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

MD Management Limited, a division of Scotia Wealth Management, has an exciting opportunity for a talented and enthusiastic Regulatory Manager, Marketing Communications to join our team.

You will Contribute to the overall success of Regulatory and Business Risk in Canada 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 position reports to the Senior Manager, Regulatory and Business Risk at MD with a dotted line to the Senior Manager, Advisor Investment Communications for Scotia Wealth Management.

Is this role right for you? In this role you will:

Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Act as the primary contact for all compliance matters related to advertising, sales literature, and correspondence.
Oversee the marketing supervision process and reviews all investment-related content created by MD as well as Scotia Wealth Management.
Ensure that all external communications and campaigns align with CIRO requirements, applicable brand guidelines, and both internal and external communication policies.
Conduct regulatory oversight, specifically marketing supervision, in accordance with applicable regulatory requirements, including IIROC/CIRO Rule 3600 and internal policies and procedures to detect and/or prevent violations. Including, but not limited to:
Review of marketing materials such as disclosure documents, brochures, disclaimers, agreements/terms and conditions
Managing the compliance marketing inbox and service levels
Monitoring social media
Lead the development and maintenance of the compliance policies, including the oversight, reviews, and updates of all relevant disclaimers and disclosures.
Communicate emerging issues or problems to applicable stakeholders and identifies timely solutions, where applicable.
Actively solicits input from colleagues and other internal groups to develop and implement or improve communication and compliance programs and sales tools.
Support the Senior Manager, Regulatory & Business Risk with other areas of the program, as assigned. This may include but is not limited to:
Test and monitoring of controls related to marketing supervision, such as social media, titles and designations use, and email signatures
Maintain a high level of awareness of regulatory changes and developments in the industry and supporting the Senior Manager, with updates to the Regulatory Control Library as needed
Participate in special projects, as needed
Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursues effective and efficient operations of their 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.

Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:

The desire to lead by example - encouraging others to model your growth mindset, sound judgment, integrity, and proactive, yet authentic, internal and external relationship-building skills.
The ability to deliver - using your interpersonal, problem-solving, influencing, communication, and relationship-building skills to promote adherence to privacy requirements.
You embrace change - thriving in a diverse environment of ever-changing priorities where ambiguity, multitasking and tight deadlines are the norm.
A desire to learn -not only to further your knowledge of MD business objectives, but to stay apprised of applicable federal and provincial privacy laws and developments in the regulatory environment and privacy laws.
The capability to 'go up and down the ladder' - comfortable working at both strategic and operational levels, understanding key business drivers and tailoring business solutions to minimize/mitigate regulatory risk.
The ability to work independently and as part of a broader team, always seeking out new ways to collaborate and contribute.
You're a natural coach - possessing the ability to motivate others to achieve business critical goals and navigate through times of extreme change.
Confidence - in yourself, in your team and in the expertise you provide.

The Must Haves:

CIRO registered Supervisor, or willingness to become Supervisor licensed within 3 months
University Degree or College Diploma in Business or related field
5+ years of relevant experience in the investment/wealth management industry, preferably in a wealth management environment
Exceptional communication skills, both with clients and with internal stakeholders
Detailed knowledge and understanding of CIRO and/or equivalent financial industry regulators
Bilingual (French and English) is an asset

Location(s): Canada : Ontario : Ottawa || Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

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. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.