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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 and Risk Management 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 that compliance requirements are integrated into business operations.
- Develop and maintain relationships with regulatory bodies, industry associations, and other external stakeholders to stay informed about regulatory developments and best practices.
- 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.
- Strong analytical and problem-solving skills, with the ability to identify and mitigate compliance risks.
- Excellent communication and interpersonal skills, with the ability to work effectively with internal stakeholders and external partners.
- Minimum 5 years of experience in the securities industry or with an industry regulator, with a strong background in compliance and risk management.
Scotiabank offers a competitive compensation package, including a comprehensive benefits program, retirement savings plan, and opportunities for professional development and career advancement. We are committed to creating a diverse and inclusive work environment that values and respects the contributions of all employees.
