Senior Administrator, Regulatory Initiatives
7 days ago
Senior Administrator, Regulatory Initiatives & Reporting (18-month Contract)
Summary: Provide administrative support to Senior Manager, Regulatory Initiatives & Reporting, ensuring compliance with regulatory requirements and risk management standards.
The role is responsible for executing effective management of tier one compliance and regulatory oversight, working closely with the Senior Manager and/or assigned Project Team to uphold regulatory oversight and risk management standards.
Key Responsibilities:
- Monitor adherence to regulatory and internal Bank requirements, ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed.
- Support the audit function in the preparation stage and issue resolution of findings.
- Provide support to the Senior Manager to communicate and implement any changes in policies and practices that will impact clients and/or Relationship Managers.
- Support Senior Manager, National Field Operations to identify, research, document and report upon compliance concerns, establishing and maintaining PIC policies and procedures.
Support compliance, regulatory and operational risk by:
- Minimizing the Bank's exposure to risk by complying with and ensuring team members' compliance with all procedures, regulatory activities and guidelines.
- Supporting and reinforcing any changes in policies and practices to the Senior Manager for communication to the Relationship Managers, Market Leads, Regional Directors, GO Managers and Portfolio Administrators.
- Proactively identifying potential and actual compliance issues and concerns and escalating to proper authority.
Education/Work Experience:
- University Degree or College Diploma (Business, Economics, Accounting, Finance).
- Previous experience with Tier 1 compliance/regulation.
Functional Competencies:
- Thorough investment management know-how and a depth of experience required as it relates to understanding compliance and regulatory rules.
- Solid understanding of Canadian Wealth Management objectives, strategies and structures.
- Strong compliance knowledge and experience in Private Wealth and Investment Management.
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.
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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