Title:  Manager, Asset Management Compliance

Requisition ID: 258856 

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

Purpose

Asset Management Compliance supports 1832 Asset Management L.P. (“1832”). 1832 provides portfolio management services for investment funds, pooled funds, and institutional clients. The Asset Management Compliance Department provides portfolio management compliance oversight. The incumbent is instrumental in the development, implementation, and oversight of compliance policies, procedures, and controls for 1832.

The incumbent will work closely with the Senior Manager, Asset Management Compliance to monitor the Asset Management Compliance Program and assist with special projects, as required.

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

• Facilitate a robust culture of compliance through the successful delivery of an efficient and effective compliance program including policies, procedures, active engagement with business partners and awareness training.
• Conduct appropriate inquiries and investigations in relation to actual and potential compliance breaches and ensures that appropriate corrective and/or risk-mitigation actions are implemented in a timely manner or escalated, as required.
• Proactively work with members of the Asset Management Compliance team to identify gaps and/or ineffective compliance controls, including developing new compliance controls and internal policies and procedures.
• Develop and maintain a trusted-advisor and commercial relationship with Senior Management and other stakeholders (such as Portfolio Managers, Traders, Legal, Operations, and Product) through the delivery of consistent, timely, practical, and accurate guidance and advice to the business.
• The incumbent will use his/her analytical skills to conduct relevant research and arrive at conclusions and/or recommendations based on the exercise of good judgment on moderately complex decisions falling within standard policies; and escalate matters beyond existing policies.
• Assist the Senior Manager, Compliance in preparing reporting for various committees and working groups that may include the Trade Management Oversight Committee, Conflict of Interest Committee, Independent Review Committee, and the Trade Cost Analysis working group.
• Responsible for monitoring and maintaining personal trading activities and other conflict-of-interest matters, such as gifts and entertainment, outside activities, and trade errors.
• Maintain a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiatives, etc.
• Participate in special compliance projects, as required, and prepares and coordinates compliance management reports.
• Other duties and projects as may be assigned from time to time.

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

• Minimum 5 years’ experience in the financial services industry, preferably within a mutual fund company;
• College Diploma or University Degree;
• Key areas of regulatory knowledge include; National Instrument 81-102, National Instrument 81-107, National Instrument 31-103, Ontario Securities Act (Part XXI)
• Advanced knowledge of Excel is a must;
• Ability to work well both independently and in a team environment;
• Focused, results-oriented individual with the strong ability to multi-task and perform under pressure in a fast-paced environment;
• Excellent problem solving, analytical skills and a detailed oriented mindset;
• Securities Industry Courses offered by CSI or Securities Industry Designations (CIM, CFA) are an asset;

• Experience in programming is an asset;

What's in it for you?

• The opportunity to join a forward-thinking bank surrounded by a collaborative team of innovative thinkers.
• A rewarding career path with diverse opportunities for professional development.
• Internal development to support your growth and enhance your skills.
• An organization committed to making a difference in our communities– for you and our customers.
• We have an inclusive and collaborative working environment that encourages creativity, curiosity, and celebrates success!

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.