Compliance Officer, Investment Management

3 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 209531

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

**Purpose**

1832 Asset Management L.P. (“1832 LP”) provides portfolio management services to the Scotia Funds, Dynamic Funds, MDFM Funds, Tangerine Funds and institutional and high net worth clients. The 1832 LP Investment Management Compliance team provides real time and post trade monitoring and portfolio management compliance oversight. The incumbent is responsible for assisting the 1832 LP Investment Management Compliance team with this oversight; with a special focus on the investment constraints governing the portfolio management and trading activities in1832 LP.

The incumbent will work closely with the Senior Compliance Officer and the Senior Manager (Investment Management Compliance) monitoring 1832 LP’s Charles River Compliance Module and assisting with department special projects as required.

**Accountabilities**

1. Investigates and resolves trading and portfolio management compliance breaches arising from pre trade and post trade reviews. Review and investigate trading compliance violations as they occur and provide an appropriate response in order to promptly execute the trade(s).

2. In the conduct of all activities, pro-actively identifies actual and potential violations of regulatory requirements, internal policies and procedures, and/or other high risk situations in a timely manner to mitigate business and operational risk.

3. Conducts appropriate inquiries and investigations in relation to any such situation and ensures that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or escalated.

4. Conducts monitoring of daily trades including derivative strategies and provide oversight on cash cover requirements that are reportable under the firm’s regulatory reporting obligations to identify potential compliance gaps.

5. The incumbent will use their analytical skills to conduct relevant research and arrive at conclusions and/or recommendations based on the exercise of good judgment on moderately complex decisions falling within standard policies; and escalate matters beyond existing policies.

6. Responsible for manual monthly and/or quarterly monitoring of investment guidelines that are monitored outside Charles River using Excel.

7. Assist the Compliance team in monitoring the personal trading of all access employees and assist employees with understanding the rules of the monitoring program.

8. Develop a thorough understanding, with guidance, of the investment strategies employed by 1832 LP and assists in ensuring the strategies are controlled for within the electronic trading surveillance system.

9. Ensures that compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.

10. Assists in identifying gaps in the existing compliance program and participates in developing, maintaining, and implementing changes to the firm’s compliance policies and procedures.

11. Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.

12. Assist the Compliance team in monitoring security aggregation using Fundapps.

13. Other duties and projects as may be assigned from time to time.

**Education/Experience**
- Post-secondary education in a related discipline (business administration, economics, finance);
- Minimum 2 years’ experience in the financial services industry, preferably within a mutual fund company;
- Successful completion of or enrollment in relevant industry related courses and programs; such as the Canadian Securities Course, Derivatives Fundamentals and Options Course, Canadian Investment Manager Program or Chartered Financial Analyst designation;
- Knowledge of the investment restrictions in National Instrument 81-102 is an asset;
- Advanced knowledge of Excel is a must;
- Experience in Charles River Compliance Module is an asset;
- Confident, personable, professional presence - ability to immediately garner credibility with portfolio management and trading staff;
- Ability to work well both independently and in a team environment; and
- Focused, results-oriented individual with the strong ability to multi-task and perform under pressure in a fast paced environment.

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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