Compliance Officer, Asset Management Compliance (226173)
Compliance Officer, Asset Management Compliance (226173)
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Job Description
Requisition ID: 226173
Join a purpose driven winning team committed to results in an inclusive and high-performing culture.
The Compliance Officer is responsible for supporting the Investment Counsel (PIC) division of1832 Asset Management L.P. and other various business units and entities within ScotiabanksAssetManagement divisions within Canada by providing compliance monitoring direction and advice.
Is this role right for you In this role you will:
- Assist Compliance Manager in the creation review andmaintenance of compliance policies procedures and reference materials to ensure adherence to regulatory the implementation of new policies ensuring they align with business objectives while meeting complianceobligations. Maintain a structured record of compliance policies and ensure timely updates in response to regulatorychanges.
- Provide guidance and interpretation on regulatory rules controls policyexceptions and compliance inquiries from business units. Act as a key resource for compliance-related issues ensuringconsistent application of policies across Private Investment Counsel operations. Collaborate with teams to ensurecompliance efforts align with strategic business goals.
- Identify potential actual or perceived compliance risks ensuring early intervention. Conduct inquiries and investigations into compliance concerns documenting findings and recommending risk mitigation strategies. Work proactively to implement corrective measures and prevent regulatory breaches.
- Develop review and maintain branch oversight reporting ensuring alignment with regulatory requirements. Monitor compliance activities and escalate key findings to the Compliance Manager and Senior Manager. Conduct periodic testing and assessments to validate internal compliance controls and identify process improvements.
- Evaluate business requests related to Powers of Attorney Seniors & Vulnerable clients Estate disbursements and assess compliance implications. Exercise sound judgment in moderately complex decisions and escalate more intricate cases to leadership. Ensure high-risk matters are addressed promptly and appropriately.
- Stay informed on compliance regulations industry developments and emerging best practices in Private Investment Counsel. Participate in ongoing learning and training to enhance expertise in regulatory frameworks and compliance trends.
- Collaborate with business units compliance colleagues and seniormanagement to ensure seamless compliance operations. Support internal teams in compliance-related discussionsprocess enhancements and regulatory interpretations. Strengthen relationships with key stakeholders acting as atrusted compliance advisor.
- Identify areas for efficiency improvements within compliance processes ensuring effectiveness while minimizing risk. Support testing initiatives to enhance workflow reporting accuracy and policy implementation. Participate in compliance-related projects including cross-training and backup support for colleagues.
Do you have the skills that will enable you to succeed in this role - Wed love to work with you if you have:
- Post-secondary education in a related discipline (business/economics/finance/mathematics) requiredenrollment in the CFA program or Risk Management Designation is an asset.
Two (2) or more years of directly relevant investment industry compliance or related experience (e.g. tradingoperations sales audit).
Experience working in a compliance function at a portfolio management or investment management firm
Successful completion of industry related courses such as the Canadian Securities Course Conduct andPractices Handbook or Traders Training Course preferred
Knowledge and understanding of the securities industry applicable Securities Acts SRO Rules and relevantregulations.
Knowledge and understanding of financial advisory services policy writing procedures and complianceprocesses.
Pivot Tables VLOOKUPs & Advanced Formulas Strong Excel proficiency for report generation and dataanalysis.
Data Cleaning & Transformation with Large Datasets Ability to structure and refine compliance data toensure accuracy.
Macros & VBA (Optional but Beneficial) Basic understanding of automation in reporting workflows.
SQL or Relational Database Management Systems Experience with database query structures to support
compliance reporting.
Whats 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.
Required Experience:
Unclear Seniority
Employment Type
Full Time
