Regulatory Compliance Specialist

5 days ago


Toronto, Ontario, Canada Scotiabank Full time
Job Title: Regulatory Compliance Specialist

The Asset Management Compliance team at Scotiabank is seeking a highly motivated and detail-oriented Regulatory Compliance Specialist to support the development, evaluation, updating, and administration of compliance policies, procedures, training, and reference materials.

Key Responsibilities:

  1. Assist in providing compliance monitoring, direction, and advice to business units providing asset management services.
  2. Support the preparation of regulatory filings, due diligence questionnaires, RFPs, and compliance certificates.
  3. Review transactions made by Portfolio Managers and monitor activity in accounts in relation to the Investment Policy Statements.
  4. Provide expert advice on day-to-day compliance inquiries and requests received through the Compliance inbox.

Required Skills and Qualifications:

  • Bachelor's degree in a related discipline (business/economics).
  • Experience in financial services, preferably in the area of asset management compliance.
  • Industry-related courses including the Canadian Securities Course, Conduct and Practices Handbook, and Canadian Investment Manager Program are an asset.

About Scotiabank:

Scotiabank is a leading bank in the Americas. We value diversity, equity, and inclusion, 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.



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