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Manager, Compliance - Calgary, AB

Date: Aug 14, 2019

Location: Toronto, ON, CA

Company: Scotiabank

 

 

 

 

 

Requisition ID: 66057

 

Join the Global Community of Scotiabankers to help customers become better off.

 

Purpose

 

Leads and oversees the Centralized Compliance Department, Scotia Securities Inc. in Canada ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.

 

Accountabilities

 

  • Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

 

  • Scotia Securities Inc. Mutual Fund Compliance
    • Supervise the day to day operations of the Tier 1 reviews
    • Assist the RCOs with Tier 1 reviews when volumes exceed RCO capacity
    • Follow up deficiencies identified in Tier 1 review and escalate when corrective action is past acceptable time frames

 

  • Training
    • Identify compliance trends to further improve Retail Branch Investment Specialist / Regional Director training programs
    • Deliver training sessions to Investment Specialist team as part of the training program and as requested by Regional Directors

 

  • Internal Partner Collaboration
    • Act as subject matter expert, supporting both the Investment Specialists and Regional Directors
    • Liaise with multiple business units (SSI Compliance, Wealth Management Registrations, Customer Complaints)

 

  • Social Media Compliance review
    • Monitor and approve Investment Specialist and Regional Director communications via approved social media platforms

 

  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.

 

  • Creates an environment in which his/her team 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.

 

  • Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.

 

Educational/Experience Requirements:

 

  • People management experience
  • Must be licensed to sell mutual funds in Canada
  • Must have an Undergraduate University Degree (preferably in business or accounting) &/or related work experience
  • Must satisfy all Compliance expectations for the role, including completion of the Branch Compliance Officer (BCO) course
  • Thorough knowledge of Branch Compliance Officer responsibilities, processes and guidelines
  • Knowledge of SSI and Bank policies, procedures and manuals for the sale and distribution of mutual funds
  • The ability to evaluate risk, to identify control weaknesses, to recommend actions, to follow-up and to report on non-compliance effectively.
  • Initiative, and the ability to work efficiently and effectively in a fast-paced, team environment
  • Effective communication skills both verbal and written are required.
  • Strong organization and time management skills
  • Working knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the Internet.

 

Location(s):  Canada : Alberta : Calgary 

As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. 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.


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