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Senior Administrator, Regulatory Oversight

2 days ago

Toronto, Ontario, Canada Scotiabank Full time

Requisition ID:

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

Purpose

The Senior Administrator is responsible for providing support to the Senior Manager, Regulatory Initiatives & Reporting and the 1A side of the PIC business. The role is a dedicated administration & support role, designed to create capacity and support the Senior Manager to focus on larger projects and other compliance and regulatory activities. The incumbent understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions, ensuring that all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities

  • Executes effective management of tier one compliance and regulatory oversight:

  • Working closely with the Senior Manager and/or assigned Project Team to uphold regulatory oversight and risk management standards.

  • Working with Compliance partners to implement regulatory and fiduciary guidelines into in market best practices.
  • Monitoring adherence to regulatory and internal Bank requirements; ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed across the assigned market area.
  • Sharing knowledge to the audit function and researching of identified issues to result in favourable audit results.
  • Ensures business level processes and procedures are properly executed, documented, and reviewed for audit purposes as required.
  • Supports the audit function both in the preparation stage and issue resolution of findings.
  • Providing support to the Senior Manager to communicate and implement any changes in policies and practices that will impact our clients and/or the Relationship Managers.

  • Supporting Senior Manager, National Field Operations to identify, research, document and report upon compliance concerns, establishing and maintaining PIC policies and procedures, researching and reporting on impactful regulatory changes, and taking part in special projects where assigned.

  • Support compliance, regulatory and operational risk by:

  • Minimizing the Bank's exposure to risk by complying with and ensuring team members' compliance with all procedures, regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, FCAC, Know Your Client, Occupational Health and Safety and Guidelines for Business Conduct.

  • Supporting and reinforcing any changes in policies and practices to the Senior Manager for communication to the Relationship Managers, Market Leads, Regional Directors, GO Managers and Portfolio Administrators.
  • Working with the Senior Manager to help ensure that implementations of new policies and procedures are communicated effectively to the Relationship Managers, which will strategize towards inclusion of regulatory and compliance best practices.
  • Proactively identifying potential and actual compliance issues and concerns and escalating to proper authority.
  • Liaising with the compliance department to ensure inquiries are resolved in a timely manner and identifying patterns and on-going issues and escalating as required.
  • Ensuring client complaints, claims, legal actions and regulatory reviews, examinations and investigations are handled effectively, and corrective actions are implemented in a timely manner. This is done in partnership with the Senior Manager.
  • Co-coordinating and completing any reporting requirements accurately and submitting to the appropriate authority in a timely manner.

Experience/Education

  • University Degree or College Diploma (Business, Economics, Accounting, Finance);
  • Asset: CSC & CIM
  • Previous experience with Tier 1 compliance/regulation
  • Thorough investment management know-how and a depth of experience required as it relates to understanding compliance and regulatory rules;
  • Solid understanding of Canadian Wealth Management objectives, strategies and structures;
  • Strong compliance knowledge and experience in Private Wealth and Investment Management
  • Ability to cultivate and maintain strong working relationships across multiple business lines;
  • Highly effective verbal and written communication skills to be able to effectively articulate views both within the Bank and externally;
  • Extensive knowledge of all applicable regulatory rules, guidelines, policies and requirements.
  • Strong interpersonal & collaboration 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.

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.