Scotiabank

Senior Manager, Tangerine Investment Funds Compliance

Scotiabank • $110K — $130K *
Toronto, ON M3C 0E3In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • University degree in Business Administration, Finance, Law, Economics, Commerce, or a related discipline.
  • 5+ years of progressive experience in compliance, regulatory, legal, risk management, audit, or governance within relevant sectors.
  • Experience in a digital or hybrid wealth management environment.
  • Strong knowledge of CIRO Rules and Canadian securities legislation and regulations.
  • Ability to influence stakeholders and provide compliance guidance for new initiatives.

Responsibilities

  • Serve as a trusted compliance advisor to project teams throughout the lifecycle of new business initiatives.
  • Support the Director, Compliance in establishing regulatory readiness by assessing risks and recommending controls.
  • Conduct compliance risk assessments for proposed business activities and strategic initiatives.
  • Lead the drafting and maintenance of compliance-related policies and procedures to align with regulatory expectations.
  • Develop compliance monitoring activities to assess effectiveness and identify gaps.
  • Partner with various stakeholders to ensure compliance requirements are integrated into business processes.
  • Identify emerging regulatory trends and recommend actions to maintain compliance.

Benefits

  • Comprehensive health and wellness benefits.
  • Professional development and continuous learning opportunities.
  • Flexible working arrangements to promote work-life balance.
  • Employee engagement programs.
  • Opportunities for advancement within the organization.
Full Job Description
Requisition ID: 272101

Purpose

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

Supports the Director, Compliance in maintaining an effective compliance management framework and providing regulatory oversight to TIFL initiatives. Leads compliance advisory activities as assigned associated with new and evolving business initiatives to ensure regulatory readiness, appropriate risk management, and adherence to applicable securities regulations, industry standards, and internal governance requirements.

Accountabilities
  • Serves as a trusted compliance advisor to business partners and project teams, providing compliance guidance and challenge throughout the lifecycle of new business initiatives, products, services, and strategic projects.
  • Supports the Director, Compliance in establishing regulatory readiness for new business initiatives by identifying applicable regulatory requirements, assessing compliance risks, and recommending appropriate controls and governance measures.
  • Conducts comprehensive compliance risk assessments for proposed business activities, operational changes, and strategic initiatives, documenting risks, mitigating measures, and residual risk considerations.
  • Leads the drafting, review, implementation, and maintenance of compliance-related policies, procedures, standards, guidelines, and supervisory controls to ensure alignment with regulatory expectations and business objectives.
  • Develops and enhances compliance monitoring and testing activities designed to assess the effectiveness of controls and identify potential compliance gaps.
  • Partners with business stakeholders, Legal, Risk Management, Operations, and other control functions to ensure compliance requirements are incorporated into business processes, systems, and operating models.
  • Identifies emerging regulatory developments, industry trends, and regulatory risks, assesses business impacts, and recommends actions to maintain ongoing compliance.
  • Provides compliance support for regulatory examinations, internal audits, compliance reviews, and regulatory inquiries, including remediation planning and implementation.
  • Creates, updates, and delivers mandatory compliance training programs to support employee awareness and understanding of regulatory obligations, internal policies, and conduct expectations.
  • Develops communications, presentations, and reporting materials for senior management, governance committees, and compliance forums regarding regulatory developments, risk assessments, compliance initiatives, and program effectiveness.
  • Establishes and maintains effective working relationships with regulators, business partners, and internal stakeholders to support a strong culture of compliance and ethical conduct.
  • Monitors compliance issues, incidents, and regulatory developments, ensuring timely escalation of significant matters to the Director, Compliance and appropriate governance forums.
  • Oversees 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.
  • Understands 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 in accordance with Scotiabank's Values, Code of Conduct, and applicable regulatory requirements while ensuring the adequacy, adherence to, and effectiveness of compliance controls.
  • Champions a high-performance environment and contributes to an inclusive work environment.


Education/Experience
  • University degree in Business Administration, Finance, Law, Economics, Commerce, or a related discipline.
  • Minimum 5 years of progressive compliance, regulatory, legal, risk management, audit, or governance experience within the securities, wealth management, mutual fund, investment fund management, or banking industry.
  • Have worked in a digital or hybrid wealth management environment.
  • Strong knowledge of CIRO Rules, Canadian securities legislation, investment fund regulatory requirements, and industry best practices.
  • Demonstrated experience performing regulatory assessments and providing compliance guidance for new products, projects, business initiatives, and operational change management activities.
  • Experience developing and implementing compliance policies, procedures, controls, and governance frameworks.
  • Experience creating and delivering compliance training programs and awareness initiatives.
  • Strong understanding of compliance risk assessment methodologies and compliance management systems.
  • Proven ability to influence stakeholders and challenge business decisions effectively while maintaining strong working relationships.
  • Demonstrated ability to take ideas from 0 to 1, translating strategic vision into scalable products, capabilities, and business outcomes.
  • Strong analytical, problem-solving, and critical-thinking skills.
  • Excellent verbal and written communication, presentation, and stakeholder management skills.
  • Ability to manage competing priorities and deliver high-quality work under tight deadlines.
  • Proficiency with Microsoft Office applications including Excel, PowerPoint, Word, and Visio.
  • CSC, CPH, CIM, or equivalent industry designation considered an asset.
  • Experience within a registered mutual fund dealer, investment fund manager, or other CIRO-regulated entity is preferred.


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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