Manager, Compliance Programs

Requisition ID: 158837 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **_ Purpose_** Contributes to the overall success of the Global Wealth Compliance Department and the Canadian Wealth Distribution Compliance team in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **_ Accountabilities _**: - Assist the WD Compliance team to deliver strategic initiatives impacting the WD Compliance programs, including participating in developing, maintaining, or implementing improvements to policies, procedures, and processes. - Support the execution of various components of the WD Compliance program, including: - Work with the 1B team to ensure that regulatory developments are assessed, and associated controls are either developed or modified as appropriate - Develop and maintain internal documents including procedures, job aids and policies in support of the WD Compliance program, including by working with stakeholders to ingest, store, and disseminate information as appropriate - Work with the Director, Compliance to develop and maintain a standardized reporting program for the WD Compliance program - Ensure that regulatory Compliance events and issues are accurately logged, tracked, and followed up on in a timely manner for Compliance and Regulatory reporting purposes - Manage relationship with IIROC (and new SRO), CDIC, AMF and FCAC and liaise with Regulatory Management team to ensure that all relevant information is provided to them and we leverage best practices - Work closely with the Director, Compliance on enterprise initiatives including implementing and maintaining enterprise programs, frameworks, policies, and controls related to regulatory compliance management, regulatory change management, and reporting for the WD Compliance program. - Responsible for ongoing and ad hoc reporting provided by WD Compliance to stakeholders including the Board of Directors and the Senior Management Teams. - Manage, coordinate, and respond or facilitate as appropriate both internal audits and regulatory reviews and inquiries. - Assist with ad hoc requests/provide support as needed in respect of other aspects of the WD Compliance Program, including delivering strategic change initiatives impacting the WD Compliance oversight program. - Provide knowledgeable and practical direction, advice, and support to the WD Compliance team in a timely and client service focused manner. - Foster and maintain collaborative relationships with key internal and external stakeholders including Global Compliance, Corporate Functions, regulators, and Wealth Distribution business leaders to support the achievement of initiatives and overall objectives. - Maintain a high level of awareness of compliance related industry developments. - Successfully engage in multiple initiatives simultaneously. - Participate in projects and other duties as assigned. - Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge. - Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. - Actively pursue effective and efficient operations in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk. - Champion a high-performance environment and contributes to an inclusive work environment. **_Education/Experience_** - Knowledgeable about securities, insurance or trust laws and ethical standards. - Able to assess difficult compliance and other regulatory issues, exercise sound judgment expeditiously with respect to such issues and defend decisions with management of the businesses. - Able to communicate effectively verbally and in writing with management of the businesses and local Compliance staff. - Strong written, reporting and presentation skills. Location(s): Canada : Ontario : Toronto Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.