Regulatory Compliance Specialist

2 weeks ago

Toronto, Ontario, Canada Scotiabank Full time
Job Overview

We are seeking a highly skilled Regulatory Compliance Specialist to join our Wealth Management team. This role will be responsible for supporting the Wealth Management Complaints and Investigations program in handling client complaints, regulatory reporting, and response obligations.

About the Role
  • Assess, analyze, and investigate client complaints as assigned, including determining the nature of the complaint and assessing whether it should be reported to relevant regulators.
  • Perform detailed analyses, including reviewing advisor submissions, account documentation, file notes, and communicating with clients, advisors, and other internal departments as required.
  • Conduct suitability assessments and prepare substantive responses to clients based on the analysis and merits of the complaint.
  • Handle Provincial/National/SRO regulatory inquiries effectively in a timely manner.
  • Prepare materials in response to regulatory inquiries, examinations, and investigations and assist legal counsel as required in preparing cases for arbitration, SRO disciplinary proceedings, or civil litigation.
Requirements
  • A College Diploma or University Degree is required, with a minimum 5 years of related experience at a large financial institution or established securities or another financial services activity regulatory agency.
  • Relevant securities courses, such as the Canadian Securities Course and Conduct and Practices Handbook Course offered by the Canadian Securities Institute, are essential.
  • Experience working in or with Wealth Management is considered an asset, as is experience managing a team.
  • An enquiring mind, excellent judgment, strategic thinking skills, and attention to detail are crucial for this role.
  • Excellent written and verbal communication skills, along with a proven ability to develop and implement solutions to complex issues, are also required.
Why Join Us?

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank. We are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation during the recruitment and selection process, please let us know.

Compensation

The estimated annual salary for this role is $110,000 CAD, reflecting the complexity of the work, location, and industry standards.

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