Compliance Expert for Mutual Fund Sales

3 days ago

Toronto, Ontario, Canada Scotiabank Full time

**About Scotiabank**

Scotiabank is a leading financial institution dedicated to delivering exceptional service and solutions to our clients. We are committed to fostering a culture of excellence, diversity, and inclusion.

**Job Title: Compliance Expert for Mutual Fund Sales**

We are seeking a highly skilled Compliance Expert to join our team. As a Compliance Expert, you will be responsible for ensuring that our mutual fund sales operations remain 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.
  • Provide analysis and recommendations for implementation of regulatory requirements, including CIRO rules and policies.
  • Act as a reference source regarding regulations and legal issues applicable to SSI's dealer operations in Canada.
  • Oversight of Regulatory investigations and reporting as required.
  • Conduct regular internal review of compliance department processes.

**Requirements:**

  • Thorough knowledge of securities and other relevant regulations in all jurisdictions across Canada applicable to the sale and distribution of mutual funds.
  • Solid understanding of SSI and Bank policies, procedures, and manuals relating to the sale and distribution of mutual funds through the Bank's branches.
  • Ability to develop and maintain effective compliance controls, technology systems, training programs, and dealer communications and policies.
  • Good management, communication, and decision-making skills to supervise staff and support effective teamwork and relationship management.
  • Proficiency in Microsoft Word, Excel, and PowerPoint.
  • Strong analytical and problem-solving skills, with ability to identify regulatory requirements and develop technology and systems requirements and business cases.
  • Undergraduate degree and at least 5 years related experience in the securities industry or with an industry regulator.
  • Completed the Canadian Investment Funds Course, Branch Managers Examination Course, Officers' Partners' and Directors' Examination, and CIRO Dealer Compliance Course.
  • Acceptable to the CIRO as an Alternate Chief Compliance Officer.

**What We Offer:**

  • A competitive salary range of $90,000 - $120,000 per annum, depending on experience.
  • A comprehensive benefits package, including medical, dental, and vision coverage.
  • A generous pension plan and Employee Stock Purchase Plan.
  • Opportunities for professional development and growth within the organization.
  • A dynamic and inclusive work environment.

**How to Apply:**

Please submit your resume and cover letter to [insert contact information]. We thank all applicants for their interest; however, only those selected for an interview will be contacted.

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