Senior Administrator, Regulatory Initiatives & Reporting

Purpose of the Role

The Senior Administrator, Regulatory Initiatives & Reporting supports the Manager, Regulatory Initiatives & Reporting and the Scotia Jarislowsky Fraser (SJF) 1A business by providing dedicated administrative, compliance, and regulatory support. The role is designed to create capacity for the Manager by supporting day-to-day regulatory oversight, audit activities, policy implementation, and risk management initiatives. The incumbent ensures all activities are conducted in accordance with the Bank’s risk appetite, risk culture, governing regulations, and internal policies and procedures.

Key Accountabilities

Compliance and Regulatory Oversight

• Support the effective execution of Tier 1 compliance and regulatory oversight activities across the assigned market area.
• Partner with the Manager and project teams to maintain regulatory oversight and risk management standards.
• Collaborate with Compliance partners to implement regulatory and fiduciary requirements into business practices.
• Monitor adherence to regulatory requirements, internal policies, procedures, standards, and risk management guidelines.
• Conduct research and provide support related to audits and identified issues to facilitate successful audit outcomes.
• Ensure business processes and procedures are executed, documented, maintained, and reviewed in accordance with audit requirements.
• Support audit preparation activities and assist with the resolution of audit findings.
• Assist the Manager in communicating and implementing policy, procedural, and regulatory changes impacting clients and Relationship Managers.

Compliance, Regulatory and Operational Risk Management

• Minimize the Bank’s exposure to risk by ensuring compliance with all applicable regulatory requirements, policies, and guidelines, including Privacy, Anti-Money Laundering (AML), Anti-Terrorist Financing (ATF), FCAC requirements, Know Your Client (KYC), Occupational Health and Safety, and the Guidelines for Business Conduct.
• Support the communication and reinforcement of policy and procedure changes to Relationship Managers, Market Leads, Regional Directors, GO Managers, and Portfolio Administrators.
• Partner with the Manager to support the implementation and communication of new policies, procedures, and regulatory requirements across the business.
• Assist in ensuring client complaints, claims, legal actions, regulatory reviews, examinations, and investigations are managed effectively and that corrective actions are implemented in a timely manner.

Education and Experience

• University degree or College diploma in Business, Economics, Accounting, Finance, or a related discipline.
• Completion of the Canadian Securities Course (CSC) and Chartered Investment Manager (CIM) designation is considered an asset.
• Previous experience supporting Tier 1 compliance and regulatory activities.
• Experience within Wealth Management, Private Wealth, or Investment Management environments is preferred.

Functional Competencies

• Strong knowledge of compliance, regulatory requirements, and investment management practices.
• Solid understanding of Canadian Wealth Management business objectives, strategies, and organizational structures.
• Experience interpreting and applying compliance and regulatory rules within a Private Wealth or Investment Management environment.
• Ability to build and maintain strong working relationships across multiple business lines and stakeholder groups.
• Excellent verbal and written communication skills with the ability to convey complex regulatory matters clearly and effectively.
• Comprehensive knowledge of applicable regulatory requirements, policies, standards, and guidelines.
• Strong interpersonal, collaboration, and relationship management skills.
• High attention to detail, organizational skills, and the ability to manage multiple priorities in a fast-paced environment.