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Senior Manager, Mutual Fund Dealer Compliance Specialist
2 months 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 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 implementation of regulatory requirements and industry standards, including CIRO rules and policies.
- Conduct regular internal reviews of compliance department processes and monitor oversight programs to ensure service levels from internal service providers are being met.
- Assist in the control, evaluation, and response to any serious irregular activity, such as fraud, kiting, or serious incidents of non-compliance.
- Prepare and submit reports as directed by the Chief Compliance Officer, including progress on implementation of new policies and procedures or corrective actions required.
- Thorough, current 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.
- Good management, communication, and decision-making skills to supervise staff and support effective teamwork and relationship management.
- Understanding of the risk-based approach to compliance, ability to evaluate risk, identify control weaknesses, recommend actions, contribute to development of policies, implement supporting procedures, and report on non-compliance effectively.
- Effective plain English communication skills, both oral and written, to write policies and procedures, develop training and certification programs, and identify regulatory requirements and develop technology and systems requirements and business cases.
- Undergraduate degree and at least 5 years of related experience in the securities industry or with an industry regulator.
- Completed the IFSE courses, or equivalent: Canadian Investment Funds Course, Branch Managers Examination Course, the Officers' Partners' and Directors' Examination, and CIRO Dealer Compliance Course.
- Acceptable to the CIRO as an Alternate Chief Compliance Officer.
