Senior Compliance Manager for Mutual Fund Dealers
4 weeks ago
Requisition ID: 205175
At Scotiabank, we are dedicated to fostering a results-oriented and inclusive environment that promotes high performance.
Role Overview
The 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 applicable laws, regulations, and self-regulatory organization (SRO) policies pertinent to mutual fund sales and dealers.
Key Responsibilities
1. Regulatory Awareness:
- Stay informed about current and proposed dealer regulations through active participation in industry associations, seminars, and communication with Securities Regulators and the Mutual Fund Dealers Association (CIRO).
- Provide insights and recommendations for the implementation of CIRO rules and maintain an ongoing awareness of any changes or initiatives.
- Serve as a resource for regulatory and legal inquiries related to dealer operations.
- Support branches and Wealth Management Service Centres by addressing regulatory questions and enhancing customer service.
2. Policy and Procedure Development:
- Develop and maintain the Investing Manual, along with Head Office Policies and Procedures.
- Document and assist in the execution of compliance policies, procedures, and training programs, ensuring alignment with legal requirements and existing bank protocols.
- Facilitate the creation and monitoring of training programs for mutual fund registrants as mandated by CIRO.
- Evaluate requirements for new products and processes, ensuring compliance with regulatory standards.
- Implement oversight programs for internal service providers and maintain business continuity plans.
3. Compliance Monitoring and Reporting:
- Oversee investigations and responses to regulatory inquiries, ensuring thorough reporting to management and regulators.
- Conduct regular internal reviews of compliance processes.
- Monitor service levels from internal service providers and conduct compliance reviews to ensure operational controls are effective.
- Complete enterprise-wide compliance risk assessments.
4. Addressing Non-Compliance:
- Recommend and track the implementation of action plans to rectify non-compliance issues.
- Investigate serious non-compliance matters and identify weaknesses in policies and procedures.
5. Regulatory Preparation:
- Assist in managing regulatory examinations and internal audits, providing input on proposed regulations.
- Oversee the CIRO Business Conduct Examination process, including preparation and implementation of remedial measures.
The Senior Compliance Manager will also engage in various projects related to bank or regulatory initiatives, contributing to system improvements and compliance training needs.
Qualifications
The ideal candidate will possess a comprehensive understanding of securities regulations across Canada, particularly those governing mutual fund sales and distribution. A solid grasp of SSI and bank policies, procedures, and relevant investment products is essential.
Strong management, communication, and decision-making skills are required to effectively supervise staff and foster teamwork. The candidate should demonstrate a risk-based approach to compliance, with the ability to evaluate risks and recommend appropriate actions.
Proficiency in Microsoft Office applications is necessary, along with the ability to develop compliance controls and training programs. An undergraduate degree and a minimum of 5 years of relevant experience in the securities industry or with a regulatory body are preferred. Completion of specific IFSE courses is also required.
Scotiabank values the unique skills and experiences each individual brings and is committed to creating an inclusive environment for all.
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Old Toronto, Ontario, Canada Scotiabank Full timeAt 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 crucial role in supervising and enhancing the Mutual Fund Dealer Compliance Head Office Review Program. This position ensures adherence to pertinent laws,...
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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 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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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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