Scotiabank

Manager, Programs, Asset Management Compliance

Scotiabank • $90K — $110K *
Toronto, ON M3C 0E3In-Person
Finance & Insurance
Less than 5 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • University or college education preferred.
  • 4+ years in financial services, particularly in compliance, audit, or risk management.
  • Familiarity with compliance issue management and regulatory developments.
  • Analytical skills with a focus on identifying risks and resolving compliance issues.
  • Strong written and verbal communication, effective across diverse stakeholder groups.

Responsibilities

  • Support the Director in meeting Enterprise Compliance Program requirements.
  • Collaborate with compliance teams to enhance policies and procedures.
  • Assist in producing compliance reports for senior management and the Board.
  • Oversee the Asset Management Compliance team's records and reports.
  • Coordinate projects and audits impacting Asset Management Compliance.

Benefits

  • Inclusive and collaborative work environment fostering creativity and success.
  • Performance bonus and Employee Share Ownership Program.
  • Access to career development and progression opportunities.
  • Health benefits from day one.
Full Job Description
Requisition ID: 270235

Contributes to the overall success of the Asset Management Compliance Program ensuring individual goals, plans, initiatives are executed and delivered in support of the team's business strategies and objectives. The Manager executes activities to manage and administer the Asset Management Compliance Program, ensuring all activities conducted are compliant with governing regulations, enterprise requirements, and internal policies and procedures.

Is this role right for you? In this role, you will:

  • Provide ongoing support to the Director, Private Investment Counsel & Compliance Programs to ensure Asset Management Compliance is meeting Enterprise Compliance Program requirements (e.g. Regulatory Library, Regulatory Change Management, Issues Management, Risk Assessments)
  • Works with the Asset Management Compliance teams who oversee multiple asset management businesses to deliver initiatives impacting the Asset Management Compliance Program, including developing, maintaining and implementing improvements to policies, procedures and processes to ensure they meet Global Compliance standards
  • Assist the Director, Private Investment Counsel & Compliance Programs with the development and maintenance of ongoing reporting provided by the Asset Management Compliance team to senior stakeholders including the Board of Directors and the Senior Management Teams, as well as ensuring this reporting meets the standards and expectations of Global Compliance
  • Manage and administer the books of records for the Asset Management Compliance team for Enterprise Compliance Programs components
  • As appropriate, coordinate and maintain oversight on projects, audits, external regulatory reviews and inquiries impacting Asset Management Compliance
  • Provide support in the execution and/or coordination of Enterprise Compliance and Internal Audit related activities impacting Asset Management Compliance, including compliance testing activities, audit activities, Compliance Risk and Control Assessments (CRCA) and regulatory obligation and control updates
  • Develop and maintain relationships with stakeholders and business partners to support the achievement of initiatives and overall objectives.
  • Pro-actively identify potential violations of regulatory requirements, internal policies and procedures, in a timely manner and make recommendations to mitigate business, compliance and operational risk.
  • Develop and maintains strong knowledge of Scotiabank processes, policies, procedures, applications and products related to the Bank's risk appetite and culture
  • Participates in projects and other duties as assigned
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursues effective and efficient operations of their respective areas 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.
  • Champions a high-performance environment and contributes to an inclusive work environment.
  • Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.


Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:

  • University or college education is preferred.
  • Minimum of 4 years relevant work experience in the financial services industry, preferably within a regulatory compliance, audit or risk management function.
  • Experience in managing one or more of the end to end processes associated with compliance issues management, regulatory developments, compliance risk and controls assessments, and regulatory obligation and controls libraries, ensuring books of record are completed timely with accurate and updated information.
  • An understanding of internal controls and control frameworks is an asset.
  • Proven experience identifying key risks and issues in programs, project scope and delivery timelines, and conducting analysis to resolve risk factors.
  • An understanding of Regulatory Change Management is an asset.
  • Experience in regulatory reporting and dealing with regulators is an asset.
  • Excellent written and verbal communications skills, including an ability to communicate effectively with stakeholders. across numerous functional groups (e.g. 1A and 1B teams, Compliance, Risk etc.).
  • Experience managing projects and programs, including ability to translate a task or vision into defined requirements and/or action items, and manage the completion and/or coordination of activities to ensure timely results.
  • Experience performing gap assessments, including developing and tracking of action items to close any gaps,
  • Experience developing effective reporting and presentation decks.
  • Strong attention to detail ensuring accuracy of data inputs and consistency across data platforms.
  • Demonstrated ability to leverage available resources and think outside of the box to ensure results are achieved effectively, efficiently, and with ease.
  • Strong planning and analytical skills, ability to prioritize and focus on critical issues.
  • Prior experience developing procedures, job aids, and/or training.
  • Thorough knowledge of the MS Office suite.
  • Highly motivated; demonstrated ability to multi-task and deliver in a fast-paced, challenging and dynamic business environment.
  • Strong interpersonal skills with the ability to develop working relationships with cross-functional teams.
  • Experience in managing several ongoing projects and competing priorities concurrently.
  • Familiarity with regulatory risk areas for business units within Asset Management is an asset.
  • Familiarity with Investment Industry and related products/services is an asset.
  • Familiarity with Regulatory bodies and requirements (OSC, AMF, etc.) is an asset.
  • Familiarity with Scotiabank policies and procedures across numerous, distinct business units is an asset.


What's in it for you?

  • An inclusive & collaborative working environment that encourages creativity, curiosity, and celebrates success!
  • We offer a competitive rewards package: Performance bonus, Employee Share Ownership Program, and Pension Plan Matching, Health Benefits from day one!
  • Your career matters! You will have access to career development and progression opportunities.


Location(s): Canada : Ontario : Toronto

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.

About Scotiabank

Scotiabankers are committed to helping individuals, companies, and communities to thrive in a changing world. From personal and business banking, brokerage, and insurance, to private wealth, and the most sophisticated commercial, corporate and institutional services, they serve the diverse needs of some 21 million customers in more than 55 countries. Founded in 1832 in Halifax, Nova Scotia, their growth has always been fuelled by the success of their customers and their longevity secured by an unshakable commitment to carefully and expertly managing risk and capital. That focus on doing what's right for customers—short- andlong-term—has made us a global financial services leader. Headquartered in Canada, they are over 86, 000 Scotiabankers strong. Each of us are committed to being the best at understanding their customers' needs and all of us working together to deliver practical advice and relevant solutions that help their customers become financially better off.

Scotiabank Careers

Join Scotiabank, a premier financial institution, and become part of a diverse and inclusive team that’s leading the way in global banking. At Scotiabank, we offer more than just job opportunities; we provide a platform for professional growth and innovation in the financial services industry.

Work You’ll Do

At Scotiabank, we’re not just filling positions; we’re cultivating leaders. Dive into a workplace where diversity training and leadership development shape the path to your future. Our commitment to professional growth is evident in our robust training programs and continuous learning opportunities that foster innovation and strategic thinking.

Explore a World of Opportunities

Whether you’re looking for a full-time position, an internship, or a leadership role, Scotiabank has a spectrum of opportunities to fit your career ambitions. Our team is composed of individuals who bring a wealth of skills and perspectives to our company, driving us forward with their creativity and strategic insights.

Innovative Work Environment

Scotiabank’s culture is one of collaboration and respect, where each team member’s contribution is valued. Engage in meaningful work that challenges you to leverage your skills and push the boundaries of what’s possible in the banking sector. Our innovative projects not only support the growth of the company but also ensure our position as a leader in the industry.

Benefits and Growth

Choosing a career at Scotiabank means opting for a life of growth and opportunity. Our employees enjoy competitive benefits, including comprehensive health coverage, retirement plans, and flexible working conditions, all designed to support your career and personal life. We believe in nurturing our team’s potential by providing them with the tools they need to succeed both professionally and personally.

Join Our Team

Ready to take the next step in your career? Explore the job opportunities at Scotiabank by searching our open positions that match your skills and interests. We are continuously hiring and looking for passionate, curious, and solution-driven team players.

Networking and Professional Development

Stay connected and advance your career through Scotiabank’s extensive networking opportunities. Participate in events that connect you with other professionals and leaders within the industry. Our career resources will help you prepare your resume, ace your interviews, and land the job that best suits your career goals.

Stay Ahead

Keep up to date with the latest in career tips, industry insights, and company news—all from the people who work here at Scotiabank. Personalize your experience by subscribing to job alert emails tailored to your preferences and be the first to know about new openings and exciting developments. Join Scotiabank and be part of a team that values integrity, respect, and accountability. Discover how your career can flourish in an environment committed to your professional development and personal growth.
Learn more about Scotiabank
Size
90,619 employees
Market Cap
$57.5 billion
Industry
Finance & Insurance
5 Year Trend
+7%
NASDAQ
BNS
* Ladders Estimates

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