Title:  Compliance Analyst, Global Compliance Asset Management

Requisition ID: 259090 

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

The Compliance Analyst supports the firm’s compliance program by providing compliance monitoring, reporting, and advisory support to business units and related entities within Scotia Jarislowsky Fraser that deliver discretionary asset management services. The role assists in ensuring compliance with applicable securities laws, regulatory requirements, and internal policies and procedures, including supporting regulatory and internal compliance reporting, monitoring activities, compliance reviews, issue identification and escalation, and ongoing risk management initiatives.

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

• Provide support to the Manager, Compliance in carrying out day-to-day compliance functions and the development, updating and administration of Compliance procedures, training and reference materials.
• Generate and assist in creating branch compliance reports clearly identify deficiencies to the business within the prescribed formats and deadlines to minimize the risk of violations (actual, potential, and perceived) of regulations, rules, laws, internal policies and procedures or other risk situations.
• Assist in the timely and effective administration of Compliance controls for conflicts of interest including personal trading, personal financial dealing and outside business activities.
• Review of various account related documentation for completeness and to ensure compliance with internal policies and regulatory requirements.
• Assist in compliance projects across Asset Management units (including affiliates) and perform other duties as assigned.
• Ensure that compliance reviews are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken and complex matters and issues requiring further guidance are escalated.
• Serve as a compliance resource providing back-up support to colleagues and responding to compliance queries from the various business units in the Asset Management division.
• Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
• Build and maintain knowledge of regulatory compliance requirements, emerging developments, and industry best practices through ongoing review of publications, training, and professional development initiatives.

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

• 1–3 years of experience in investment services, with exposure to advisory or regulated financial services, a solid understanding of financial markets and securities —preferably within a brokerage environment. Demonstrated experience using advanced Excel functionality, including complex formulas (e.g., VLOOKUP/INDEX-MATCH, nested logical statements), PivotTables, and data analysis to manipulate, validate, and interpret large datasets (macros are nice to have).
• Post-secondary education in a related discipline (business/economics)
• IFIC and/or CSC designation an asset; willingness to complete other industry related courses including the Conduct and Practices Handbook, Investment Management Techniques, and Portfolio Management Techniques (Canadian Investment Manager Program learning path)
• Foundational knowledge of policies, procedures, and compliance processes, including familiarity with KYC, suitability, internal policies, and industry regulations, and experience performing detail-oriented work in support of regulatory reporting or audit inquiries.
• Ability to effectively organize, prioritize, and execute work in a fast-paced environment, with a strong emphasis on accuracy, attention to detail, and independent quality checks, while simultaneously handling multiple tasks and meeting stringent deadlines.
• Strong oral and written communication and critical-thinking skills, with a demonstrated ability to identify issues, escalate concerns in a timely manner, and propose practical solutions. Natural curiosity and drive to learn/grow within the team along with high ethical standard and integrity

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 

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.  

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our  Recruitment team know. If you require technical assistance, please click here. 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.