Senior Administrator, Regulatory Initiatives and Compliance Specialist
6 days ago
Requisition ID: 206862
Scotiabank is seeking a highly skilled Senior Administrator to provide support to the Senior Manager, Regulatory Initiatives & Reporting. The successful candidate will be responsible for executing effective management of tier one compliance and regulatory oversight, minimizing the Bank's exposure to risk, and ensuring compliance with all procedures, regulatory activities, and guidelines.
Key Responsibilities:
- Compliance and Regulatory Oversight:
- Work closely with the Senior Manager and/or assigned Project Team to uphold regulatory oversight and risk management standards.
- Implement regulatory and fiduciary guidelines into in-market best practices.
- Monitor adherence to regulatory and internal Bank requirements, ensuring compliance, risk management, and regulatory rules, guidelines, policies, and standards are followed.
- Share knowledge with the audit function and research identified issues to result in favorable audit results.
- Ensure business-level processes and procedures are properly executed, documented, and reviewed for audit purposes.
- Support the audit function in the preparation stage and issue resolution of findings.
- Communicate and implement changes in policies and practices that impact clients and/or Relationship Managers.
- Minimize the Bank's exposure to risk by complying with and ensuring team members' compliance with all procedures, regulatory activities, and guidelines.
- Support and reinforce changes in policies and practices to the Senior Manager for communication to Relationship Managers, Market Leads, Regional Directors, GO Managers, and Portfolio Administrators.
- Work with the Senior Manager to ensure implementations of new policies and procedures are communicated effectively to Relationship Managers, incorporating regulatory and compliance best practices.
- Proactively identify potential and actual compliance issues and concerns, escalating to proper authority.
- Liaise with the compliance department to ensure inquiries are resolved in a timely manner and identify patterns and ongoing issues, escalating as required.
- Handle client complaints, claims, legal actions, and regulatory reviews, examinations, and investigations effectively, implementing corrective actions in a timely manner, in partnership with the Senior Manager.
- Coordinate and complete reporting requirements accurately and submit to the appropriate authority in a timely manner.
Requirements:
Education & Work Experience:
- University Degree or College Diploma (Business, Economics, Accounting, Finance);
- Asset: CSC & CIM;
- Previous experience with Tier 1 compliance/regulation;
- Thorough investment management know-how and a depth of experience required as it relates to understanding compliance and regulatory rules;
- Solid understanding of Canadian Wealth Management objectives, strategies, and structures;
- Strong compliance knowledge and experience in Private Wealth and Investment Management;
- Ability to cultivate and maintain strong working relationships across multiple business lines;
- Highly effective verbal and written communication skills to articulate views within the Bank and externally;
- Extensive knowledge of all applicable regulatory rules, guidelines, policies, and requirements;
- Strong interpersonal & collaboration skills.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and 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 our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.
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Kitchener, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled Senior Administrator to join our team at Scotiabank. As a key member of our Regulatory Initiatives and Compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining a strong risk management culture.Key ResponsibilitiesRegulatory Oversight and...
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Kitchener, Ontario, Canada Scotiabank Full timeJob SummaryWe are seeking a highly skilled Senior Administrator to join our team at Scotiabank. As a key member of our Regulatory Initiatives and Compliance team, you will play a critical role in ensuring the bank's compliance with regulatory requirements and maintaining a strong risk management culture.Key ResponsibilitiesRegulatory Oversight and...
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