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Manager Asset Management Compliance

Scotiabank

This is a Contract position in Toronto, ON posted June 3, 2021.

 

 

 

Requisition ID: 106199

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

 

 

Purpose

The Manager, Asset Management Compliance is responsible for supporting the MD discretionary business, Investment Counsel division of 1832 Asset Management L.P., Tangerine Investment Management Inc. and other business units and entities within Scotiabank’s Asset Management division within Canada and the U.S. by providing compliance monitoring, direction and  advice.

 

Major Accountabilities

  • Assists the Senior Manager, Compliance in carrying out day-to-day compliance functions for the MD discretionary business and the development, drafting, updating and administration of compliance policies, procedures and reference materials.
  • Pro-actively identifies violations (actual, potential, and perceived) of regulations, rules, laws, internal policies and procedures or other risk situations at an early stage. Conducts inquiries and investigation into such situations and ensures that appropriate corrective and/or risk mitigation actions are implemented in a timely manner.
  • Be responsible for the supervision of accounts and account activities for the MD discretionary business
  • Assist Senior Manager in developing and implementing the Exempt Market Dealer Compliance program across Asset Management Business units and act as a Subject Matter Expert (“SME”).  
  • Assist Senior Manager in developing and implementing the Individual Pension Plan Compliance program across Asset Management Business units and act as a SME.  
  • Function as key point of contact and provide Compliance support to Tangerine Investment Management Inc.
  • Assesses requests for compliance approvals and arrives at recommendations and/or conclusions based on the exercise of sound judgement on moderately complex decisions.
  • Escalates matters that are complex in nature and in which further guidance is required or falls outside existing policies to the Senior Manager. Critical matters are immediately escalated to the Director, Compliance, Private Client.
  • Functions as the key point of contact and resource on day-to-day, compliance related inquiries and requests from various business units in the Asset Management division and Compliance colleagues.
  • Assists in identifying efficiencies and areas for improvement within the existing compliance program, testing of processes and controls and developing, maintaining and implementing changes to the firm’s compliance policies and procedures.
  • Promote a culture of compliance and facilitate awareness through the delivery of annual and ad hoc training.
  • Act as a point of contact and assist in the timely gathering and production of information for internal audit and or regulatory requests.
  • Maintains a high level of awareness and knowledge of regulatory compliance requirements, developments and industry “best practices” to provide ongoing and proactive support to the business in relation to new/existing products, programs and business initiatives.
  • Performance of other duties and projects assigned as it relates to the Asset Management Compliance Program including, but not limited to, acting as back-up to colleagues.

 

Education / Experience and Other Information

  • Post-secondary education in a related discipline (business/economics), or enrollment in the CFA or Risk Management Designation.
  • Minimum 5 to 7 years of compliance experience within a financial services compliance function
  • Experience in financial services, preferably in the area of investment compliance.
  • Successful completion or enrollment in industry related courses including the Canadian Securities Course, Conduct and Practices Handbook and Canadian Investment Manager Program.
  • Knowledge and understanding of financial advisory services, policies, procedures and compliance processes.
  • In-depth current knowledge of applicable Canadian securities and SRO rules and regulations.
  • Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
  • Strong attention to detail, problem-solving skills and analytical skills.
  • Functional knowledge of Microsoft applications and familiarity with Compliance related applications and software.
  • French Speaking an asset

 

Dimensions:

  • Coverage and support for Asset Management business units including MD, 1832 Asset Management L.P., Jarislowsky Fraser Ltd. and 1832 Asset Management U.S.
  • Interact on a daily basis with employees at all levels from across Asset Management.
  • Applicable Regulators include: Ontario Securities Commission, Canadian Securities Administrators, FINTRAC, CRTC, SEC and Autorite Des Marches Financiers.
  • Act independently and arrive at conclusions and recommendations based on the exercise of sound judgment.
  • Identify, investigate and, escalate unresolved queries, actual or perceived conflicts of interest and instances of non-compliance with firm policies and procedures.

 

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. If you require technical assistance, please click here. 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.