Senior Manager, Mutual Fund Dealer Compliance Specialist
7 days ago
We are seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team at Scotiabank. The successful candidate will be responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program, ensuring compliance with relevant laws, regulations, and industry standards.
Key Responsibilities- Maintaining Regulatory Awareness
- Stay up-to-date with applicable and proposed dealer regulations through industry associations, seminars, and regulatory communications.
- Provide analysis and recommendations for implementing CIRO rules and policies.
- Act as a reference source for regulatory matters and provide support to branches and Wealth Management Service Centres.
- Developing Policies, Practices, Procedures, Systems, and Training Programs
- Develop and maintain the Investing Manual, Head Office Policies, and Procedures.
- Document and implement compliance policies and procedures, reviews, and training programs.
- Assist with developing, implementing, and monitoring training programs for mutual fund registrants.
- Monitoring and Reporting on Compliance
- Oversee effective investigation of, response to, and follow-up on Regulatory Investigations.
- Conduct regular internal reviews of compliance department processes.
- Monitor oversight programs and compliant programs to ensure service levels from internal service providers are met.
- Remedying Non-Compliance and Resolving Problems
- Recommend and monitor the progress of implementing appropriate action plans to correct incidents of non-compliance.
- Investigate serious non-compliance matters.
- Preparation for Regulators/Auditors
- Assist with coordinating and managing Regulatory examinations, Internal Audit audits, and investigations.
- Provide input into proposed new or amended regulations.
- Manage the process of the CIRO Business Conduct Examination.
- Thorough knowledge of securities and other relevant regulations in all jurisdictions across Canada applicable to the sale and distribution of mutual funds.
- 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.
- Understanding of the risk-based approach to compliance, ability to evaluate risk, identify control weaknesses, recommend actions, and contribute to the development of policies.
- Effective plain English communication skills, both oral and written.
- Proficiency in Microsoft Word, Excel, and PowerPoint.
- At least 5 years of related experience in the securities industry or with an industry regulator.
- Completed IFSE courses, or equivalent, including the Canadian Investment Funds Course, Branch Managers Examination Course, and CIRO Dealer Compliance Course.
- Acceptable to the CIRO as an Alternate Chief Compliance Officer.
-
Toronto, Ontario, Canada Scotiabank Full timeSenior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our organization, you will be responsible for ensuring that our mutual fund sales and dealer operations remain in compliance with relevant laws, regulations, and SRO policies.Key...
-
Toronto, Ontario, Canada Scotiabank Full timeSenior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our organization, you will be responsible for ensuring that our mutual fund sales and dealer operations remain in compliance with relevant laws, regulations, and SRO policies.Key...
-
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,...
-
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...
-
Old Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175At Scotiabank, we are dedicated to fostering a results-oriented environment within a diverse and high-achieving culture.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...
-
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...
-
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...
-
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...
-
Senior Manager, Mutual Fund Dealer Compliance
3 weeks ago
Toronto, Ontario, Canada Scotiabank Full timeRequisition ID: 205175 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The 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...
-
Mutual Funds Compliance Manager
3 weeks ago
Toronto, Ontario, Canada Scotiabank Full timeAbout the Role As a Mutual Funds Compliance Manager, you will play a vital role in ensuring that Scotiabank's investment products and services adhere to all applicable regulations and industry standards. You will be responsible for developing, implementing, and maintaining a robust compliance program that mitigates risk and promotes ethical conduct within...
-
Mutual Fund Compliance Leader
3 weeks ago
Toronto, Ontario, Canada BMO Full timeBMO Financial Group is seeking a highly motivated and experienced Compliance Specialist to play a vital role in ensuring the integrity and effectiveness of our Mutual Fund Dealer's second line compliance program. In this position, you will be responsible for coordinating a range of critical activities, including risk assessment, monitoring, testing, and...
-
Senior Manager
10 hours ago
Toronto, Ontario, Canada Cari Full timeJob SummaryWe are seeking a highly skilled and experienced Senior Manager to lead our Dealer Services team in Canada. As a key member of our leadership team, you will be responsible for overseeing the BNS and SSI adjustment teams, ensuring business strategies and plans are executed in compliance with governing regulations and internal policies.Key...
-
Toronto, Ontario, Canada Fidelity Investments Full timePosition Overview:Become an integral part of our innovative team at Fidelity, where you will play a vital role in overseeing operational adherence and regulatory obligations. As a Senior Specialist in Operations and Compliance Management, your primary responsibilities will include assessing compliance benchmarks, revising internal policies, and providing...
-
Mutual Fund Specialist
3 weeks ago
Toronto, Ontario, Canada Fidelity Investments Full timeAbout the Role We are seeking a highly motivated and experienced Mutual Fund Specialist to join our growing team. In this role, you will provide exceptional client service by handling a wide range of inquiries, processing transactions, and ensuring accurate record-keeping. Your Responsibilities Provide prompt and efficient responses to inbound client...
-
Toronto, Ontario, Canada Fidelity Investments Full timeAbout Fidelity InvestmentsFidelity Investments is a leading financial services company that has been helping Canadian investors build better financial futures for over 35 years. We offer a range of trusted investment portfolios and services, and we're constantly seeking new and better ways to help our clients.Our CultureWe're a diverse and dedicated group of...
-
Toronto, Ontario, Canada Fidelity Investments Full timeAbout Fidelity InvestmentsFidelity Investments is a leading financial services company that has been helping Canadian investors build better financial futures for over 35 years. We offer a range of trusted investment portfolios and services, and we're constantly seeking new and better ways to help our clients.Our CultureWe're a diverse and dedicated group of...
-
Registered Dealer Specialist
1 week ago
Toronto, Ontario, Canada Fidelity Investments Full timeAbout the RoleFidelity Investments is a world leader in mutual funds and ETF management, offering a complete line of products and services to investors through a network of third-party brokers and financial advisors.Job SummaryThe Registered Dealer Specialist is responsible for administrating registered and non-registered accounts and executing transaction...
-
Registered Dealer Specialist
7 days ago
Toronto, Ontario, Canada Fidelity Investments Full timeAbout the RoleFidelity Investments is a world leader in mutual funds and ETF management, offering a complete line of products and services to investors through a network of third-party brokers and financial advisors.Job SummaryThe Registered Dealer Specialist is responsible for administrating registered and non-registered accounts and executing transaction...
-
Regulatory Compliance Specialist
4 weeks ago
Old Toronto, Ontario, Canada CIRO Full timePosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO serves as the national self-regulatory authority overseeing all investment dealers, mutual fund dealers, and trading activities within Canada's debt and equity markets.CIRO is responsible for the regulatory functions...
-
Regulatory Compliance Specialist
4 weeks ago
Old Toronto, Ontario, Canada CIRO Full timePosition Title: Compliance Officer (MFD)Department: Business Conduct ComplianceRegion: TorontoStatus: Permanent Full-time (Hybrid)CIRO serves as the national self-regulatory body overseeing all investment dealers, mutual fund dealers, and trading activities within Canada's financial markets.CIRO carries out the regulatory responsibilities of the Investment...
