Mutual Fund Compliance Leader
3 weeks ago
BMO Financial Group is seeking a highly motivated and experienced Compliance Specialist to play a vital role in ensuring the integrity and effectiveness of our Mutual Fund Dealer's second line compliance program.
In this position, you will be responsible for coordinating a range of critical activities, including risk assessment, monitoring, testing, and surveillance. Your primary objective will be to guarantee full adherence to regulatory requirements and align all operations with the overarching Compliance Program framework.
You will collaborate closely with various business units and internal partners to ensure that all obligations are met and provide expert guidance on emerging regulatory developments or new product launches within our organization. Furthermore, you will actively identify potential risks, implement robust mitigation strategies, and meticulously maintain compliance information for comprehensive analysis and reporting purposes.
Key Responsibilities:- Cultivate a work environment that embodies BMO's core values, purpose, and strategic direction.
- Provide insightful counsel to senior leaders on managing regulatory risks and effectively overseeing compliance programs.
- Develop in-depth expertise regarding business challenges and actively network with industry contacts to stay abreast of best practices.
- Oversee the entire lifecycle of compliance policies, encompassing strategy development, design implementation, and ongoing monitoring.
- Serve as the primary point of contact for stakeholders and regulatory bodies, ensuring clear and effective communication.
The ideal candidate will possess 10+ years of proven experience in securities compliance, coupled with a post-secondary degree or equivalent. Exceptional communication skills, critical thinking abilities, and strong project management capabilities are essential for success in this role.
A deep understanding of regulatory requirements and consumer protection regulations is mandatory.
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Mutual Funds Compliance Manager
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Old Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175At Scotiabank, we are dedicated to fostering a results-oriented environment within a diverse and high-achieving culture.Role OverviewThe Senior Compliance Manager for Mutual Fund Dealers plays a crucial role in supervising and enhancing the Mutual Fund Dealer Compliance Head Office Review Program. This position ensures adherence to...
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Old Toronto, Ontario, Canada Scotiabank Full timeOverviewThe Senior Compliance Manager for Mutual Fund Dealers plays a crucial role in ensuring adherence to the regulatory framework governing mutual fund sales and dealer operations. This position is pivotal in maintaining the integrity of the compliance program, which is designed to align with relevant laws, regulations, and self-regulatory organization...
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Old Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175At Scotiabank, we are dedicated to fostering a results-oriented environment that values inclusivity and high performance.Role OverviewThe Senior Compliance Manager for Mutual Fund Dealers plays a pivotal role in supervising and enhancing the Mutual Fund Dealer Compliance Head Office Review Program. This position ensures adherence to...
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Toronto, Ontario, Canada Scotiabank Full timeSenior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our organization, you will be responsible for ensuring that our mutual fund sales and dealer operations remain in compliance with relevant laws, regulations, and SRO policies.Key...
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Old Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175At Scotiabank, we are dedicated to fostering a results-oriented and inclusive environment that promotes high performance.Role OverviewThe Senior Compliance Manager for Mutual Fund Dealers plays a pivotal role in supervising and enhancing the Mutual Fund Dealer Compliance Head Office Review Program. This position ensures adherence to...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team at Scotiabank. The successful candidate will be responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program, ensuring compliance with relevant laws, regulations, and industry standards.Key...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team at Scotiabank. The successful candidate will be responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program, ensuring compliance with relevant laws, regulations, and industry standards.Key...
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