Senior Compliance Manager for Mutual Fund Dealers
4 weeks ago
Requisition ID: 205175
At Scotiabank, we are dedicated to fostering a results-oriented environment within a diverse and high-achieving culture.
Role Overview
The 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, regulations, and self-regulatory organization (SRO) policies governing mutual fund sales and dealers.
Key Responsibilities
1. Regulatory Knowledge Maintenance:
- Stay informed about current and proposed dealer regulations through active participation in industry associations, seminars, and direct communication with Securities Regulators and the Mutual Fund Dealers Association (CIRO).
- Provide insights and recommendations for the implementation of CIRO rules and policies, ensuring ongoing awareness of changes.
- Serve as a reference for regulations and legal matters affecting SSI's dealer operations in Canada.
- Support branches and Wealth Management Service Centres by addressing inquiries related to regulatory issues.
2. Policy and Procedure Development:
- Develop and maintain the Investing Manual, Head Office Policies, and Procedures, along with other relevant documentation.
- Assist in documenting and implementing compliance policies, procedures, and training programs, considering legal requirements and business risks.
- Support 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 regulations.
- Oversee the internal service providers and maintain the business continuity plan.
3. Compliance Monitoring and Reporting:
- Ensure thorough investigation and reporting of Regulatory Investigations to management and regulators.
- Conduct regular internal reviews of compliance processes.
- Monitor service levels from internal service providers to ensure compliance with established standards.
- Perform compliance reviews to assess the effectiveness of operational controls.
- Complete Enterprise-wide Compliance Risk Assessments.
4. Addressing Non-Compliance:
- Recommend and track the implementation of action plans to rectify non-compliance incidents.
- Investigate serious non-compliance issues.
5. Regulatory Examination Preparation:
- Assist in managing Regulatory examinations and Internal Audits, coordinating with the Chief Compliance Officer (CCO).
- Provide input on proposed regulatory changes.
- Manage the CIRO Business Conduct Examination process, including preparation and response to findings.
The Senior Compliance Manager will also engage in various projects arising from regulatory initiatives, contribute to system improvements, identify compliance training needs, and implement corrective actions as necessary.
Qualifications
The ideal candidate will possess a comprehensive understanding of securities regulations applicable to mutual fund sales across Canada. A solid grasp of SSI and Bank policies related to mutual fund distribution is essential. The candidate should demonstrate the ability to develop effective compliance controls, training programs, and communication strategies.
Strong management, communication, and decision-making skills are vital for supervising staff and fostering teamwork. The role requires a risk-based approach to compliance, with the capability to identify control weaknesses and recommend necessary actions.
Proficiency in Microsoft Office Suite is required, along with the ability to articulate regulatory requirements and develop business cases. A relevant undergraduate degree and a minimum of 5 years of experience in the securities industry or with a regulatory body are preferred. Completion of specific IFSE courses is advantageous.
Scotiabank is committed to creating an inclusive environment that values diverse skills and experiences. We encourage individuals to reach out if they require accommodations during the recruitment process.
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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 timeOverviewThe Senior Compliance Manager for Mutual Fund Dealers plays a pivotal role in ensuring adherence to regulatory standards within the mutual fund sector. This position is crucial for maintaining a culture of compliance and integrity in all dealer operations.Key ResponsibilitiesRegulatory Knowledge Maintenance:Stay informed about current and upcoming...
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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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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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