Investment Fund ComplianceRegulatory Readinesssecurities regulation
Useful technologies
ExcelMicrosoft OfficePowerPointSharePointWord
Preferred qualifications
CertificationsCSC, IFIC, CPH
Field of studyBusiness Administration, Commerce, Economics, Finance, Law (or related)
Study levelBachelor's
Original posting
Requisition ID: 272102
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Purpose
Contributes to the overall success of Tangerine Investment Funds Limited (TIFL) in Canada by ensuring initiatives are executed and delivered in support of the department's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures.
Supports the Senior Manager, Compliance and Director, Compliance in maintaining an effective compliance management framework through the development and maintenance of policies and procedures, regulatory research and analysis, compliance advisory support, and execution of regulatory readiness initiatives. Assists in ensuring the organization remains compliant with applicable securities regulations, industry requirements, and internal governance standards.
Accountabilities
Assists in the development, review, maintenance, and implementation of compliance policies, procedures, standards, and guidelines to support adherence with applicable regulatory requirements and industry best practices.
Conducts research and analysis on applicable regulatory requirements, compliance guidance, industry notices, enforcement actions, and emerging regulatory developments to assess potential impacts on TIFL's business activities.
Monitors regulatory developments from CIRO, the Canadian Securities Administrators (CSA), provincial securities regulators, and other applicable regulatory bodies, communicating relevant changes and business impacts to stakeholders.
Provides compliance advisory support to business partners by interpreting regulatory requirements and assisting with the implementation of compliance obligations within business processes and operational activities.
Supports the review of new and existing business initiatives, projects, products, and process changes by identifying applicable compliance requirements and assisting in the assessment of regulatory risks.
Assists the Director, Compliance in establishing and tracking regulatory readiness activities and milestones for new business initiatives, regulatory change projects, and enhancement programs.
Maintains project trackers, action plans, and status reporting related to compliance initiatives and regulatory readiness activities, ensuring timely escalation of issues and delays.
Assists in the identification, assessment, documentation, and monitoring of compliance risks and control requirements.
Conducts research and gathers supporting information to respond to regulatory inquiries, examinations, compliance reviews, audits, and information requests.
Drafts responses, briefing notes, submissions, and supporting documentation for review by the Senior Manager and Director, Compliance.
Assists in coordinating the collection, validation, and submission of information required for regulatory examinations, audits, and internal reviews.
Supports the development, maintenance, and enhancement of mandatory compliance training materials, job aids, awareness communications, and compliance-related guidance for employees.
Develops reports, presentations, and briefing materials for compliance meetings, governance committees, and senior management.
Builds and maintains effective working relationships with business partners, Legal, Risk Management, Operations, and other control functions to facilitate effective compliance risk management.
Identifies potential compliance issues and escalates matters requiring management attention to the Senior Manager and Director, Compliance as appropriate.
Understands how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
Conducts monitoring and testing of the firm’s activities including its Approved Persons. This includes but is not limited to: suitability, KYC/KYP, conflicts of interest, trade & account supervision and portfolio management compliance.
Actively pursues effective and efficient operations in accordance with Scotiabank's Values, Code of Conduct, and applicable regulatory requirements while supporting the adequacy and effectiveness of the compliance management framework.
Contributes to a high-performance environment and inclusive work culture.
Education/Experience
University degree in Business Administration, Commerce, Finance, Law, Economics, or a related discipline.
3-5 years of experience in compliance, regulatory affairs, risk management, legal, audit, governance, or a related role within the financial services industry.
Have worked in a digital or hybrid wealth management environment.
Knowledge of CIRO rules, Canadian securities regulations, investment fund regulations, and compliance best practices.
Experience drafting policies, procedures, standards, and governance documentation.
Experience conducting regulatory research and evaluating regulatory guidance and industry developments.
Strong written communication and document drafting skills, including experience preparing reports, briefing notes, responses to regulatory requests, and governance materials.
Strong analytical and critical-thinking skills with the ability to interpret complex regulatory requirements and translate them into practical business guidance.
Demonstrated ability to take ideas from 0 to 1, translating strategic vision into scalable products, capabilities, and business outcomes.
Excellent organizational skills and ability to manage multiple priorities and deadlines simultaneously.
Ability to work independently while collaborating effectively with cross-functional stakeholders.
Strong attention to detail and commitment to producing accurate, high-quality work.
Advanced proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and SharePoint.
Experience within a registered mutual fund dealer, investment fund manager, wealth management, or banking environment is considered an asset.
CSC, IFIC, CPH, or other relevant industry designation considered an asset.
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.