Senior Manager, Mutual Fund Dealer Compliance Specialist
1 month ago
Scotiabank is seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our Compliance department, you will be responsible for ensuring that our mutual fund dealer operations are in compliance with relevant laws, regulations, and industry standards.
Key Responsibilities:- Develop and maintain effective compliance controls, technology systems, training programs, and dealer communications and policies.
- Oversee the Mutual Fund Dealer Compliance Head Office Review Program to ensure compliance with relevant laws, regulations, and industry standards.
- Monitor and report on compliance trends and issues, and recommend corrective actions as necessary.
- Collaborate with internal stakeholders, including business leaders and risk management teams, to ensure compliance with regulatory requirements.
- Develop and maintain relationships with regulatory bodies, including the Canadian Securities Administrators (CSA) and the Investment Industry Regulatory Organization of Canada (IIROC).
- Minimum 5 years of experience in the securities industry or with an industry regulator.
- Strong knowledge of securities regulations, including the CSA and IIROC rules and guidelines.
- Proven track record of developing and implementing effective compliance programs.
- Excellent communication and interpersonal skills, with the ability to work effectively with internal stakeholders and external regulatory bodies.
- Ability to analyze complex regulatory issues and develop effective solutions.
- A competitive salary and benefits package.
- A dynamic and supportive work environment.
- Opportunities for professional growth and development.
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our Compliance and Risk Management department, you will be responsible for ensuring that our mutual fund dealer operations are in compliance with relevant laws,...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our Compliance and Risk Management department, you will be responsible for ensuring that our mutual fund dealer operations are in compliance with relevant laws,...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryThe Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable to mutual fund sales and dealers.Key ResponsibilitiesMaintaining Regulatory...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryThe Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable to mutual fund sales and dealers.Key ResponsibilitiesMaintain current knowledge of...
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Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175Job SummaryThe Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable to mutual fund sales and dealers.Key ResponsibilitiesDevelop...
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Compliance Manager, Mutual Fund Sales
6 days ago
Toronto, Ontario, Canada Scotiabank Full timeAbout the RoleThe Senior Manager, Mutual Fund Dealer Compliance is a critical role within Scotiabank, responsible for ensuring the mutual fund sales and dealer operations remain compliant with relevant laws, regulations, and SRO policies.Key ResponsibilitiesMaintaining Regulatory AwarenessMaintain current knowledge of applicable and proposed dealer...
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Toronto, Ontario, Canada RBC Investor Services Trust Full timeJob Title: Senior Dealer Relations AgentJob Summary:We are seeking a highly skilled Senior Dealer Relations Agent to join our team at RBC Investor Services Trust. As a key member of our operations team, you will be responsible for ensuring seamless communication between our clients and the Broker/Dealer and Intermediary community.Key...
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Toronto, Ontario, Canada RBC Investor Services Trust Full timeJob Title: Senior Dealer Relations AgentJob Summary:We are seeking a highly skilled Senior Dealer Relations Agent to join our team at RBC Investor Services Trust. As a key member of our operations team, you will be responsible for ensuring seamless communication between our clients and the Broker/Dealer and Intermediary community.Key...
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