Manager, Investment Management Compliance

 

 

 

Requisition ID: 214677

 Salary Range: 90,000.00 - 167,200.00 

Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, skills, and experience.

 

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

 

Global Banking and Markets 

 

Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally for over 100 years. Scotiabank’s strong U.S. presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. 

 

Global Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our products include debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products and services offered by the Scotiabank Group.  

 

Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to work for our clients across industries!  We work together to drive ambition for every future! 

Purpose
 

Contributes to the overall success of the Investment Management Business, ensuring specific individual goals, plans, and initiatives are executed / delivered in support of the team’s business strategies and objectives.  Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures.

What You’ll Do 

 

• Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.

• Assists the Senior Manager, Compliance within Scotiabank’s Asset Management division in carrying out day-to-day compliance functions and the development, drafting, updating and administration of compliance policies, procedures and reference materials, systems and manual processes.

• Escalates matters that are complex in nature and in which further guidance is required or falls outside existing policies to the Senior Manager. Critical matters are immediately escalated to the Director, Investment Management Compliance.

• Support the Compliance Team with day-to-day compliance functions and the development, evaluation, updating and administration of Compliance policies, training and reference materials, bulletins, systems, and manual processes for the Scotiabank Asset Management / Investment Management businesses, including 1832 US.

• Ensure that compliance review procedures and monitoring, including monthly Account Manifold reviews, are conducted in a high quality, risk-based manner, and appropriate follow-up actions are taken. Other monitoring activities include monthly portfolio manager and account reconciliation, including reviewing states in which we are notice filed with the SEC.

• Assist with the setup of new monitoring procedures, including for Form N-PX proxy monitoring.

• Assist in identifying efficiencies and areas for improvement within the existing compliance program, testing of processes and controls and developing, maintaining and implementing changes to the firm’s compliance policies and procedures.

• Assist with inquiries from Internal Audit and Compliance Testing.

• Serve as a compliance resource and respond to compliance queries from Asset Management / Investment Management businesses.

• Assist in reviewing new rules, interpretations, regulatory notices, and enforcement actions for impact to businesses.  Periodically conduct or assist in conducting gap analyses to help enhance the compliance program.

• Participate in