First Nations, Metis, Inuit Candidates- Compliance
2 months ago
**_The following job posting and assessment questions were crafted by Kiinago Biinoogi Muskiiki (‘Our Children’s Medicine’ in English) in consultation with Indigenous Elders, Knowledge Keepers and other members of the community. Applications housed on this platform provide a unique opportunity for First Nations, Métis and Inuit job seekers to have the option of sharing their whole selves with potential employers, including their lived experience and transferable skills. For more information, visit ourchildrensmedicine.ca_**
Are you a First Nations, Metis, Inuit job seeker looking for a position in the financial services field that allows you to work from home? If so we want to hear from you
Daily activities include:
- Provide support to the compliance manager 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.
**REQUIREMENTS**:
- 1-3 years experience in financial services, preferably in the area of investment compliance
- Basic knowledge and understanding of financial advisory services, policies, procedures and compliance processes
- Skilled in handling multiple tasks and meeting deadlines
- Ability to organize and prioritize in a fast-paced environment with attention to accuracy and detail
- Strong verbal, critical thinking and written communication skills
- Natural curiosity and drive to learn/grow within the team along with high ethical standard and integrity
- 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)
- 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)
Join Scotiabank and belong to a high-performing team with a passion for success.
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