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Senior Administrator, Regulatory Initiatives Specialist

2 months ago

Toronto, Ontario, Canada Scotiabank Full time
Job Summary

We are seeking a highly skilled Senior Administrator to join our Regulatory Initiatives team at Scotiabank. As a key member of our team, you will provide critical support to our Senior Manager, Regulatory Initiatives & Reporting, and contribute to the success of our business.

Key Responsibilities
  • Regulatory Oversight and Risk Management
    • Collaborate with the Senior Manager and project teams to ensure regulatory compliance and risk management standards are upheld.
    • Work with Compliance partners to implement regulatory guidelines and best practices.
    • Monitor adherence to regulatory and internal requirements, ensuring compliance and risk management rules are followed.
  • Compliance and Regulatory Support
    • Support the Senior Manager in communicating and implementing policy changes that impact clients and Relationship Managers.
    • Assist in identifying, researching, and documenting compliance concerns, and establishing and maintaining policies and procedures.
    • Provide support for audit functions, including preparation and issue resolution.
  • Operational Risk Management
    • Minimize exposure to risk by ensuring compliance with procedures, regulatory activities, and guidelines.
    • Support and reinforce policy changes to Relationship Managers, Market Leads, Regional Directors, and Portfolio Administrators.
    • Proactively identify potential and actual compliance issues and escalate to proper authority.
Requirements
  • University degree or college diploma in Business, Economics, Accounting, or Finance.
  • Asset: CSC & CIM designations.
  • Previous experience in Tier 1 compliance and regulation.
Competencies
  • Thorough understanding of investment management and compliance rules.
  • Solid knowledge of Canadian Wealth Management objectives, strategies, and structures.
  • Strong compliance knowledge and experience in Private Wealth and Investment Management.
  • Ability to cultivate and maintain strong working relationships across multiple business lines.
  • Highly effective verbal and written communication skills.
  • Extensive knowledge of applicable regulatory rules, guidelines, policies, and requirements.