Director, Global Registrations

Requisition ID: 248312

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

The Role

Leads and oversees Registrations in Canada ensuring business strategies plans and initiatives are executed / delivered in compliance with governing regulations internal policies and procedures.

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

• Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships systems and knowledge. Identify monitor and assess regulatory legal and industry developments relating to the licensing and registration of entities and individuals and in particular securities and insurance licensing and registration through the review of publications relevant websites participation in industry associations contact with Regulators and liaison with counsel and auditors;
• Inform and advise business unit personnel and managers on the impact risks and opportunities of applicable laws regulations guidelines industry best practices and corporate policies as they relate to licensing and registration.
• Establish network of business unit personnel responsible to receive written guidance and to implement such guidance through documented procedures in order to ensure compliance with regulatory requirements industry practice and general risk management;
• Establish written guidance to Department staff on the appropriate implementation of the Rules through policies manuals and training material including the preparation and filing of regulatory license applications changes termination and renewals as required;
• Act as in-house consultant and educator on relevant Rules and other compliance matters and make employees aware of their compliance responsibilities via training programs presentations publications and day-to-day contact;
• Monitor compliance with any written guidance and review management attestations business unit self-assessments and reports on compliance and related activities generated as a result of implementing the guidance
• Provide comprehensive regular and ad hoc management reporting
• Assess internal procedures to determine appropriateness of or to identify deficiencies or weaknesses or perceived weaknesses in relevant policies practices procedures systems staffing or training; review such deficiencies or weaknesses and formulate proposals for amendments; take action as required.
• Understand how the Banks risk appetite and risk culture should be considered in day-today activities and decisions.
• Creates an environment in which their team pursues effective and efficient operations of their respective areas in accordance with Scotiabanks Values its Code of Conduct and the Global Sales Principles while ensuring the adequacy adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational compliance AML/ATF/sanctions and conduct risk.
• Builds a high performance environment and implements a people strategy that attracts retains develops and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviours

Do you have the skills that will enable you to succeed in this role Wed love to work with you if you have:

• University degree required or equivalent experience; LL.B is an asset;
• In-depth knowledge of regulatory compliance and legal requirements including SRO requirements and issues applicable to the financial services industry as they relate to licensing and registration;
• Sound knowledge of risk based management internal controls and compliance practices procedures and principles;
• Mature well-developed interpersonal skills and organizational abilities;
• Excellent written and verbal communications skills;
• Excellent analytical and problem-solving skills;
• Excellent organization and time-management skills;
• Leadership and motivational skills;
• Working knowledge of MS Word MS Excel and Outlook
  
  

Whats in it for you

• A rewarding career path with diverse opportunities for professional development
• An organization committed to making a difference in our communities for you and our customers.
• A competitive rewards program including bonus flexible vacation personal and sick days and comprehensive benefits that start on your first day.
• Diversity Equity Inclusion & Allyship - We strive to create an inclusive culture where every employee is empowered to reach their fullest potential respected for who they are and are embraced through bias-free practices and inclusive values across Scotiabank. We embrace diversity and provide opportunities for all employees to learn grow & participate through our various Employee Resource Groups (ERGs) that span across diverse gender identities ethnicity race age ability & veterans.
• Accessibility and Workplace Accommodations - We value the unique skills and experiences every individual brings to the Bank and are committed to creating and maintaining an inclusive and accessible environment for everyone. Scotiabank continues to locate remove and prevent barriers so that we can build a diverse and inclusive environment while meeting accessibility requirements.

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.