Compliance Officer, Asset Management Compliance
7 days ago
Requisition ID: 220381
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
The Compliance Officer, Asset Management will provide 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.
Is this role right for you? In this role, you will:
- Manage the Signing Authorities List for Trust Accounting and Corporate Accounting.
- Manage the monitoring and review of the Asset Management Social Media program. This includes the drafting of procedures and policies related to the program.
- Assist the Manager in monitoring of the compliance inboxes for social media requests, questions and inquiries from business units. Escalates matters that are complex in nature and in which further guidance is required or falls outside existing policies to the Senior Manager and Manager. Critical matters are immediately escalated to the Senior Manager Compliance, Asset Management.
- Prepare quarterly and yearly reports to the Senior Manager, stakeholders and other Compliance colleagues for compliance reporting for internal oversight committees, boards and senior management.
- Maintain and update the Sales Communication and Marketing Compliance Dashboard in preparation for the reports.
- Conduct Compliance training and presentations to internal staff as it relates to sales practice regulations and 1832 LP's policies and procedures. Also, work with the Manager in the creation of training tools for new team hire and Business partners.
- Work with Senior Manager and Manager to assist in the identification of gaps in policies and procedures which may have a regulatory impact and assist in the formulation of new policies and procedures to meet industry rules and regulations.
- Participate on internal working groups to provide constructive input with regards to new initiatives from compliance and monitoring perspective.
- Work with Business partners to ensure electronic systems and applications related to Sales Practices is optimally utilized to ensure compliance with regulatory requirements.
- Assist the Senior Manager and Manager in compliance projects across Asset Management division and affiliates and perform other duties as required.
- 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.
- Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
- 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, participation in industry.
Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:
- Post-secondary education in a related discipline (business/economics), or enrollment in the CFA or Risk Management Designation an asset.
- Two (2) or more years of directly relevant investment industry compliance or related experience preferably in sales communication and marketing.
- Experience in Excel macros, custom coding and desktop tool building an asset.
- Successful completion of or enrollment in industry courses, such as the Canadian Securities Course, Conduct and Practices Handbook or Trader Training Course an asset.
- 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 customer focus with well-developed relationship management and excellent oral and written communication skills.
- Fluency in French, both written and spoken is an asset but not required.
What's in it for you?
- An inclusive & collaborative working environment that encourages creativity, curiosity, and celebrates success
- We offer a competitive rewards package: Performance bonus, Employee Share Ownership Program, and Pension Plan Matching, Health Benefits from day one
- Your career matters You will have access to career development and progression opportunities.
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.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.
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