Senior Administrator, Regulatory Initiatives and Compliance Specialist

2 weeks ago

Kitchener, Ontario, Canada Scotiabank Full time
Job Summary

We are seeking a highly skilled Senior Administrator to join our team at Scotiabank. As a key member of our Regulatory Initiatives and Compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining a strong risk management culture.

Key Responsibilities
  • Regulatory Oversight and Compliance
    • Work closely with senior management and project teams to ensure effective management of tier one compliance and regulatory oversight.
    • Implement regulatory and fiduciary guidelines into best practices and monitor adherence to regulatory and internal bank requirements.
    • Share knowledge with the audit function and research identified issues to achieve favorable audit results.
    • Ensure business-level processes and procedures are properly executed, documented, and reviewed for audit purposes.
  • Compliance and Risk Management
    • Minimize the bank's exposure to risk by complying with and ensuring team members' compliance with all procedures, regulatory activities, and guidelines.
    • Support and reinforce changes in policies and practices to senior management for communication to relationship managers, market leads, regional directors, and portfolio administrators.
    • Work with senior management to ensure effective communication of new policies and procedures to relationship managers.
    • Proactively identify potential and actual compliance issues and concerns and escalate to proper authority.
  • Client and Regulatory Compliance
    • Ensure client complaints, claims, legal actions, and regulatory reviews, examinations, and investigations are handled effectively and corrective actions are implemented in a timely manner.
    • Coordinate and complete reporting requirements accurately and submit to the appropriate authority in a timely manner.
    Requirements
    • University degree or college diploma in business, economics, accounting, or finance.
    • Asset: CSC and CIM designations.
    • Previous experience with tier one compliance and regulation.
    • Thorough investment management knowledge and experience in understanding compliance and regulatory rules.
    • Solid understanding 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 all applicable regulatory rules, guidelines, policies, and requirements.
    • Strong interpersonal and collaboration skills.

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