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Compliance Analyst, Asset Management Compliance
4 months ago
Requisition ID: 170565
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Job Purpose
The Compliance Analyst, Asset Management will assist in providing compliance monitoring, direction, and advice to business units and related entities providing asset management services within Scotiabank to help ensure compliance with governing regulations and internal policies and procedures.
Key Accountabilities
Provide support to the Manager, Compliance within Scotiabank’s Asset Management division in carrying out day-to-day compliance functions and the development, updating and administration of Compliance procedures, training and reference materials.
Generate and assist in creating branch compliance reports to clearly identify deficiencies to the business within the prescribed formats and deadlines to minimize the risk of violations (actual, potential, and perceived) of regulations, rules, laws, internal policies and procedures or other risk situations.
Assist in the timely and effective administration of Compliance controls for conflicts of interest including personal trading, gifts and entertainment, personal financial dealing and outside business activities.
Review of various account related documentation for completeness and to ensure compliance with internal policies and regulatory requirements.
Assist in compliance projects across Asset Management units (including affiliates) and perform other duties as assigned.
Ensure that compliance reviews are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken and complex matters and issues requiring further guidance are escalated.
Serve as a compliance resource providing back-up support to colleagues and responding to compliance queries from the various business units in the Asset Management division.
Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
Develop awareness and knowledge of regulatory compliance requirements, developments and industry “best practices” through the review of publications, employee development initiatives, etc.
**Qualifications**:
1-3 years experience in financial services, preferably in the area of investment compliance
High level knowledge and experience in advanced Excel formulas (lookups/logical statements/Index-match/formatting), pivot tables (Power Pivot (an asset), database knowledge, Power BI (an asset), macros and data analytical skills
Post-secondary education in a related discipline (business/economics)
Enrollment in or working towards completing the CFA or Risk Management Designation an asset
IFIC and/or CSC designation an asset; willingness to complete other industry related courses including the Conduct and Practices Handbook, Investment Management Techniques, and Portfolio Management Techniques (Canadian Investment Manager Program learning path)
Basic knowledge and understanding of financial advisory services, policies, procedures and compliance processes
Capable of simultaneously handling multiple tasks and meeting stringent deadlines
Ability to organize and prioritize in a fast-paced environment with attention to accuracy and detail
Strong oral, critical thinking and written communication skills
Natural curiosity and drive to learn/grow within the team along with high ethical standard and integrity
Location(s): 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.
