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Title posted on CareerBeacon -
Senior Manager, Mutual Fund Dealer Compliance (Contract)
Posted on May 15, 2024
by
Employer details
Scotiabank
Job details
Requisition ID: 199060Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Reporting to the Director, Chief Compliance Officer, Scotia Securities Inc. (SSI) Compliance, the Senior Manager, Mutual Fund Dealer Compliance is responsible for overseeing and supporting the Mutual Fund Dealer Compliance Head Office Review Program by ensuring that the Program remains in compliance with relevant laws, regulations and SRO policies applicable to mutual fund sales and dealers. Specific aspects of the Compliance Program include development/maintenance and implementation of supporting policies, procedures, manuals, guides, etc.; oversight of Regulatory investigations and reporting as required, oversight of service providers/support units (such as Scotiabank Registrations, Customer Complaints and Appeals Office, Contact Centres/Investment Support and CAUs); and reporting to regulatory authorities and management; providing input into system initiatives. The Senior Manager also assists the Chief Compliance Officer (CCO), as necessary, in providing reasonable assurance to Senior Management and the Scotia Securities Board of Directors that Scotia Securities, as a mutual fund dealer, complies in a cost effective manner with governing securities regulations and internal policies and procedures. In doing so, the incumbent is responsible for fostering public trust and satisfactory relationships with Regulators and minimizing the risk of financial loss, damage to reputation, regulatory sanction, and litigation, fines or penalties for the organization and the respective Directors, Officers and employees. Is this role right for you? In this role, you will: Maintaining Regulatory Awareness: Maintain current knowledge of applicable and proposed dealer regulations through participation in industry associations and seminars, contact with Securities Regulators and the Mutual Fund Dealers Association (CIRO) and through review of Provincial Securities Commissions, CIRO, IFIC, and other industry publications/websites. Provide analysis and recommendations for implementation of the CIRO rules and policies, and maintain an ongoing awareness of any CIRO changes or initiatives. Act as a reference source regarding regulations and legal issues applicable to SSI's dealer operations in Canada. Provide support to the branches/Wealth Management Service Centres by responding to questions about regulatory matters or Regulations and to support service to SSI's customer. Developing Policies, Practices, Procedures, Systems and Training Programs: Develop and maintain the Investing Manual, Head Office Policies and Procedures and any other manuals, guides and notices, as directed. Document and assist with the implementation of compliance policies and procedures, reviews and training programs etc. which must also be evaluated taking into consideration legal requirements, CIRO and AML requirements, existing Bank procedures and systems, business risks, efficiency and the supervisory and management controls required. Assist with the development, implementation and monitoring of training programs for mutual fund registrants as mandated by the CIRO and any ongoing education requirements that result from implementation of financial planning legislation, CIRO requirements, or any other applicable regulatory authority. Assist in evaluating requirements/policies for new product and/or process implementations and systems initiatives. Implement oversight program regarding internal service providers Oversight and maintenance of business continuity plan and related testing activities Monitoring and Reporting on Compliance: Monitoring: Oversee effective investigation of, response to, and follow-up on Regulatory Investigations, and effective reporting to management and the regulators is completed. Conduct regular internal review of compliance department processes Monitor oversight program and compliant program to ensure service levels from inte
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LocationToronto, ON
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SalaryNot available
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Terms of employment
Full time
- Start date
Starts as soon as possible
- vacancies
1 vacancy
- Source
CareerBeacon
#2051086
Advertised until
2024-06-13
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