Manager, Regulatory Initiatives

5 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 198096

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

Purpose

The Manager, Regulatory Initiatives & Reporting (1A) reports to the Senior Manager, Regulatory Initiatives & Reporting for Private Investment Counsel (PIC). The incumbent is responsible for supporting PIC’s audit and testing initiatives as well as PIC’s internal regulatory reporting. The Manager will work closely with key business partners such as Compliance, Internal & External Audit, and 1B functions to enhance and streamline policies & procedures used to manage and report on risk.

Additionally, the incumbent will be responsible for assisting the Senior Manager with managing a wide variety of regulatory initiatives in collaboration with the above-mentioned partners. As new regulatory initiatives come up, the incumbent will be asked to help support of the roll-out, implementation and program administration of such initiatives.

Accountabilities
- Manage internal audit and testing initiatives from Request to Information to final findings and closure reports, while delegating necessary data and document collection to the Senior Administrator(s)
- Work with the Senior Manager to remediate projects arising from regulatory initiatives and communicating findings and implementing corrective actions.
- Providing AML/ATF compliance support to PIC branches and Relationship Managers
- Identify unacceptable AML/ATF risks and escalate to Senior Manager
- Assist in the review and approval of high-risk accounts for both internal & external custodied accounts when applicable
- Ensure processes & controls are updated in accordance with regulatory developments
- Assist the Senior Manager with managing and maintaining data for numerous reporting initiatives, including identifying efficiency gaps and finding resolutions to those gaps
- Work with internal compliance departments for investment management, privacy, AML and 1B
- Work with the Senior Administrator to manage and maintain policies, procedures and best practices for the 1A division of PIC
- Assist in role outs of new processes and procedures, including those created through audit findings
- Assist in drafting or reviewing communications to the PIC field on changes to regulatory policies and internal procedure changes
- Support any other PIC EO or 1A initiatives as assigned

**Qualifications**:

- University or Community College degree preferred
- 3 to 5 years in a compliance or similar role
- Previous people management experience an asset
- Strong understanding of the Private Investment Counsel (PIC) strategy and vision
- Strong knowledge of Private Investment Counsel (PIC) operations and sales environments
- Thorough knowledge of policies, procedures, operational processes and systems that support PIC
- Excellent written and verbal skills required to prepare communications and interact effectively with Senior Management, other Bank departments and external parties;
- Excellent time management skills
- Strong interpersonal skills that facilitate a positive and effective team environment at all levels of the organization.

Dimensions
- Will oversee 2 direct reports
- Strong communications and interpersonal skills
- Solid time management and prioritization skills
- Demonstrated independence and collaboration, with an ability to build strong cross-cultural and cross-divisional team relationships
- Excellent team player
- Detailed understanding of the following:

- Related policies/procedures/operational processes/systems
- PIC Regulatory environment
- Functions of the areas supported
- Functionality of relevant Systems and technology and their interfaces both internally and externally overall Scotia Wealth Management offering and its associated business lines

Working Conditions
- Fast-paced hybrid-office environment
- Detail and close attention required
- Unplanned operating problems and tight deadlines may bring stress
- Work with moderate supervision in the execution of projects with direction received from peers/management on overall objectives for projects and assignments
- Highly matrix organizational structure

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.

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