Scotiabank

Manager, Tangerine Investment Funds Ltd Compliance

Scotiabank • $80K — $95K *
Toronto, ON M3C 0E3In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • University degree in Business Administration, Commerce, Finance, Law, Economics, or a related discipline.
  • 3-5 years of experience in compliance, regulatory affairs, risk management, legal, audit, governance, or related roles in financial services.
  • Experience in a digital or hybrid wealth management environment is preferred.
  • Knowledge of CIRO rules and Canadian securities regulations, and investment fund regulations.
  • Strong written communication and document drafting skills.

Responsibilities

  • Assist in developing, reviewing, and implementing compliance policies and procedures.
  • Conduct regulatory research and analyze potential impacts on business activities.
  • Monitor regulatory developments from various governing bodies and communicate changes to stakeholders.
  • Provide compliance advisory support by interpreting regulatory requirements for business processes.
  • Maintain project trackers and status reports related to compliance initiatives.

Benefits

  • Contributes to a high-performance environment and inclusive work culture.
Full Job Description
Requisition ID: 272102

Purpose

Contributes to the overall success of Tangerine Investment Funds Limited (TIFL) in Canada by ensuring initiatives are executed and delivered in support of the department's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures.

Supports the Senior Manager, Compliance and Director, Compliance in maintaining an effective compliance management framework through the development and maintenance of policies and procedures, regulatory research and analysis, compliance advisory support, and execution of regulatory readiness initiatives. Assists in ensuring the organization remains compliant with applicable securities regulations, industry requirements, and internal governance standards.

Accountabilities
  • Assists in the development, review, maintenance, and implementation of compliance policies, procedures, standards, and guidelines to support adherence with applicable regulatory requirements and industry best practices.
  • Conducts research and analysis on applicable regulatory requirements, compliance guidance, industry notices, enforcement actions, and emerging regulatory developments to assess potential impacts on TIFL's business activities.
  • Monitors regulatory developments from CIRO, the Canadian Securities Administrators (CSA), provincial securities regulators, and other applicable regulatory bodies, communicating relevant changes and business impacts to stakeholders.
  • Provides compliance advisory support to business partners by interpreting regulatory requirements and assisting with the implementation of compliance obligations within business processes and operational activities.
  • Supports the review of new and existing business initiatives, projects, products, and process changes by identifying applicable compliance requirements and assisting in the assessment of regulatory risks.
  • Assists the Director, Compliance in establishing and tracking regulatory readiness activities and milestones for new business initiatives, regulatory change projects, and enhancement programs.
  • Maintains project trackers, action plans, and status reporting related to compliance initiatives and regulatory readiness activities, ensuring timely escalation of issues and delays.
  • Assists in the identification, assessment, documentation, and monitoring of compliance risks and control requirements.
  • Conducts research and gathers supporting information to respond to regulatory inquiries, examinations, compliance reviews, audits, and information requests.
  • Drafts responses, briefing notes, submissions, and supporting documentation for review by the Senior Manager and Director, Compliance.
  • Assists in coordinating the collection, validation, and submission of information required for regulatory examinations, audits, and internal reviews.
  • Supports the development, maintenance, and enhancement of mandatory compliance training materials, job aids, awareness communications, and compliance-related guidance for employees.
  • Develops reports, presentations, and briefing materials for compliance meetings, governance committees, and senior management.
  • Builds and maintains effective working relationships with business partners, Legal, Risk Management, Operations, and other control functions to facilitate effective compliance risk management.
  • Identifies potential compliance issues and escalates matters requiring management attention to the Senior Manager and Director, Compliance as appropriate.
  • Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Conducts monitoring and testing of the firm's activities including its Approved Persons. This includes but is not limited to: suitability, KYC/KYP, conflicts of interest, trade & account supervision and portfolio management compliance.
  • Actively pursues effective and efficient operations in accordance with Scotiabank's Values, Code of Conduct, and applicable regulatory requirements while supporting the adequacy and effectiveness of the compliance management framework.
  • Contributes to a high-performance environment and inclusive work culture.


Education/Experience

  • University degree in Business Administration, Commerce, Finance, Law, Economics, or a related discipline.
  • 3-5 years of experience in compliance, regulatory affairs, risk management, legal, audit, governance, or a related role within the financial services industry.
  • Have worked in a digital or hybrid wealth management environment.
  • Knowledge of CIRO rules, Canadian securities regulations, investment fund regulations, and compliance best practices.
  • Experience drafting policies, procedures, standards, and governance documentation.
  • Experience conducting regulatory research and evaluating regulatory guidance and industry developments.
  • Strong written communication and document drafting skills, including experience preparing reports, briefing notes, responses to regulatory requests, and governance materials.
  • Strong analytical and critical-thinking skills with the ability to interpret complex regulatory requirements and translate them into practical business guidance.
  • Demonstrated ability to take ideas from 0 to 1, translating strategic vision into scalable products, capabilities, and business outcomes.
  • Excellent organizational skills and ability to manage multiple priorities and deadlines simultaneously.
  • Ability to work independently while collaborating effectively with cross-functional stakeholders.
  • Strong attention to detail and commitment to producing accurate, high-quality work.
  • Advanced proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and SharePoint.
  • Experience within a registered mutual fund dealer, investment fund manager, wealth management, or banking environment is considered an asset.
  • CSC, IFIC, CPH, or other relevant industry designation considered an asset.


Location(s): Canada : Ontario : Toronto

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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