Senior Administrator, Regulatory Initiatives Specialist

7 days ago

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
  1. Regulatory Oversight and Risk Management
  • Collaborate with the Senior Manager and/or assigned Project Team to ensure regulatory oversight and risk management standards are upheld.
  • Work with Compliance partners to implement regulatory and fiduciary guidelines into best practices.
  • Monitor adherence to regulatory and internal Bank requirements, ensuring compliance, risk management, and regulatory rules are followed.
  • 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.
  • Support the audit function in the preparation stage and issue resolution of findings.
  • Provide support to the Senior Manager to communicate and implement changes in policies and practices that impact clients and/or Relationship Managers.
  • Compliance and Regulatory Support
  • Minimize the Bank's exposure to risk by complying with and ensuring team members' compliance with procedures, regulatory activities, and guidelines.
  • Support and reinforce changes in policies and practices to the Senior Manager for communication to Relationship Managers, Market Leads, Regional Directors, GO Managers, and Portfolio Administrators.
  • Work with the Senior Manager to ensure implementations of new policies and procedures are communicated effectively to Relationship Managers, which will strategize towards inclusion of regulatory and compliance best practices.
  • Proactively identify potential and actual compliance issues and concerns and escalate to proper authority.
  • Liaise with the compliance department to ensure inquiries are resolved in a timely manner and identify patterns and ongoing issues and escalate as required.
  • Ensure client complaints, claims, legal actions, and regulatory reviews, examinations, and investigations are handled effectively, and corrective actions are implemented in a timely manner.
  • Co-coordinate and complete reporting requirements accurately and submit to the appropriate authority in a timely manner.
Requirements
  1. Education and Work Experience
  • University Degree or College Diploma in Business, Economics, Accounting, or Finance.
  • Asset: CSC & CIM.
  • Previous experience with Tier 1 compliance/regulation.
  • Functional Competencies
  • Thorough investment management knowledge and experience required as it relates to 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 to articulate views both within the Bank and externally.
  • Extensive knowledge of all applicable regulatory rules, guidelines, policies, and requirements.
  • Strong interpersonal and collaboration skills.

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