Senior Manager, Mutual Fund Dealer Compliance Specialist
4 days 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 to management.
- Collaborate with internal stakeholders to develop and implement compliance policies and procedures.
- Provide guidance and support to branch staff on compliance matters.
- 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 management, communication, and decision-making skills to supervise staff and support effective teamwork and relationship management.
- Proficiency in Microsoft Word, Excel, and PowerPoint.
- At least 5 years of related experience in the securities industry or with an industry regulator.
- Law degree or equivalent.
- Completed IFSE courses, such as the Canadian Investment Funds Course, Branch Managers Examination Course, and CIRO Dealer Compliance Course.
Scotiabank offers a competitive salary and benefits package, as well as opportunities for professional growth and development. If you are a motivated and experienced compliance professional looking for a new challenge, please submit your application today.
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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...
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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...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior 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 dealer operations remain in compliance with relevant laws, regulations, and SRO policies.Key...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior 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 dealer operations remain in compliance with relevant laws, regulations, and SRO policies.Key...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our Compliance department, you will be responsible for ensuring that our mutual fund dealer operations are in compliance with relevant laws, regulations, and industry...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Manager, Mutual Fund Dealer ComplianceScotiabank is seeking a highly skilled and experienced Senior Manager to lead our Mutual Fund Dealer Compliance team. As a key member of our Compliance department, you will be responsible for ensuring that our mutual fund dealer operations are in compliance with relevant laws, regulations, and industry...
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Toronto, Ontario, Canada Scotiabank Full timeJob Title: Senior Manager, Mutual Fund Dealer ComplianceScotiabank 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,...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe 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...
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Toronto, Ontario, Canada Scotiabank Full timeJob SummaryWe 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...
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