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Senior Manager, Mutual Fund Dealer Compliance Specialist
2 months ago
Scotiabank 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 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 and ensure that it remains in compliance with relevant laws, regulations, and SRO policies.
- Monitor and report on compliance, including conducting regular internal reviews of compliance department processes and monitoring oversight programs.
- Remedy non-compliance and resolve problems, including recommending and monitoring the progress of implementing appropriate action plans to correct incidents of non-compliance.
- Prepare for regulators and auditors, including assisting with the coordination and management of regulatory examinations and internal audits.
- 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.
- 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 and ability to evaluate risk, identify control weaknesses, recommend actions, and contribute to the development of policies.
- Effective plain English communication skills, both oral and written, to write policies and procedures and develop training and certification programs.
- Undergraduate degree and at least 5 years of related experience in the securities industry or with an industry regulator.
- Completed IFSE courses, such as the Canadian Investment Funds Course, Branch Managers Examination Course, and CIRO Dealer Compliance Course.
- Acceptable to the CIRO as an Alternate Chief Compliance Officer.
