Compliance Analyst, Asset Management Compliance

Requisition ID:

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Job Purpose

The Compliance Analyst, Asset Management, will support 1832 Asset management L.P. by assisting in providing compliance monitoring, direction, and advice to Scotiabank business units providing asset management services, and by helping to ensure compliance with governing regulations and internal policies and procedures.

Accountabilities

• Provide support to the Manager, Compliance, in carrying out day-to-day compliance functions and the development, evaluation, updating and administration of Compliance policies, procedures, training and reference materials, systems, and manual processes.
• Assist in the preparation of due diligence questionnaires, RFPs, and compliance certificates.
• Review transactions made by Portfolio Managers and monitor activity in accounts in relation to the Investment Policy Statements.
• Functions as a key point of contact and resource on day-to-day, compliance related inquiries and requests received through the Compliance inbox.
• Assist in the timely and effective administration of the Personal Trading Compliance program.
• Assist in the Compliance monitoring and surveillance program for processes including outside activities, trade errors, fair allocation, and registrations.
• Ensure that compliance reviews are conducted in a high-quality, risk-based manner and appropriate follow-up actions are taken; ensure that complex matters and issues requiring further guidance are escalated.
• Serve as a Compliance resource providing back-up support to colleagues and responding to compliance queries from the various business units within the Asset Management divisions.
• Perform targeted compliance analysis and reviews and develop clear, accurate, and timely reporting to the business through the Compliance Manifold.
• Assist in delivering targeted training to the employees on various Compliance topics.
• Assist in compliance projects across Asset Management units (including affiliates) and perform other duties as assigned.
• Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Develop awareness and knowledge of regulatory compliance requirements and developments and industry "best practices" through the review of publications, participation in industry associations, and employee development initiatives.

Qualifications

• Written and verbal fluency in French is an asset
• Experience in financial services, preferably in the area of asset management compliance
• Post-secondary education in a related discipline (business/economics)

• Industry related courses including the Canadian Securities Course, Conduct and Practices Handbook, and Canadian Investment Manager Program are an asset.

• Basic knowledge and understanding of financial advisory services, policies, procedures, and compliance processes.

• Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
• Ability to organize and prioritize in a fast-paced environment with attention to accuracy and detail.
• Strong English oral and written communication skills.
• Presentation skills are an asset.
• Strong knowledge of the Microsoft Excel application is an asset.

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.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.