Regulatory Manager, Marketing Communications

3 months ago

Ottawa, Canada MD Financial Management Full time

Requisition ID: 188125

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.
The role is primarily responsible for overseeing the marketing supervision process and reviewing all investment-related content created by MD as well as Scotia Wealth Management investment advisors. This includes material from campaigns and other materials as required. The Regulatory Manager ensures that all external communications and campaigns align with CIRO (formerly IIROC) requirements, applicable brand guidelines, and both internal and external communication policies. Key requirements include strong writing skills and communication acumen to both moderate and develop financial-markets-related content, while providing communication and marketing support for the suite of investment solutions offered through MD & Scotia Wealth Management. 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**:

- Foster a customer-focused culture and leverage broader Bank relationships, systems, and knowledge.
- Have strong writing skills in the delivery of financial market investment advisory and strong grasp on how the markets function.
- Execute on a dual mandate of (1) policy oversight: oversees the compliance reviews and approvals for investment-related advisor and IAS communications and (2) creative writing: contributes to content creation of the Advisor Investment Communications team.
- Act as the primary contact for all compliance matters related to advertising, sales literature, and correspondence and conducts 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. For example, but not limited to:

- Review of marketing material such as disclosure documents, signage, brochures, disclaimers, agreements/terms, and conditions
- Managing the compliance marketing inbox and service levels
- Monitoring social media
- Be able to develop content within short timelines demonstrating a strong grasp of grammar/ editorial writing
- Ensure that all marketing and investment communications are approved in accordance with CIRO and other regulatory requirements, internal & external policies and procedures, including marketing guidelines. Ensure the adequacy of the internal compliance and risk management processes and procedures at all times.
- Liaise with Investment Advisory Services, Compliance, Legal, Marketing, Business Risk, and other stakeholders on compliance matters related to investment communications.
- Lead the development and maintenance of the compliance policies, including the oversight, reviews, and updates of all relevant disclaimers and disclosures.
- Communicates 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. Ensures adherence to brand standards.
- Contributes to the development of communications and marketing materials for campaigns and investment solutions.
- Supports the Senior Manager, Regulatory & Business Risk with other areas of the program, as assigned. This may include but is not limited to:

- Testing and monitoring of controls related to Privacy and Canadian Anti-Spam Legislation to detect and/or prevent violations and potential violations.
- Training and education of staff as it relates to laws, regulations and internal policies and procedures
- Maintaining 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
- Participating in special projects, as needed

**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

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