Manager, Scotia Securities Inc. Compliance Requisition ID: 235493 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. **Purpose** Contributes to the overall success of the Scotia Securities Inc. (SSI)/ Global Compliance GWM in Canadaensuring specific individual goals, plans, 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. Participates in investigating and assisting with internal and regulatory investigations in accordance with regulatory requirements (in particular those established by securities regulations and the Canadian Investment Regulatory Organization (CIRO)) for various wealth management entities within Scotiabank. Performs investigations and documents clearly reasoned findings and actions associated with Head Office investigations, along with the delivery of timely disposition of such investigations to the Senior Managers and Chief Compliance Officer. Participates in a team supporting 2nd line compliance oversight and investigations of the SSI Global GWM activities. Ensuring the Global Wealth Business line is compliant with legal and regulatory requirements and adherence to internal policies and procedures. This includes responsibility for investor and institutional protection and transparency, conflicts of interest, market abuse, control room policies, information barriers, monitoring of personal trading and other conduct initiatives. **Accountabilities** + Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. + Ensures SSI, its branches and its registered representatives comply with Regulations and adherence to in a cost-effective manner. + Ensures adherence to SSI and BNS policies, procedures and controls established for branches and other units in support of mutual fund activities and to the Scotiabank Group Guidelines for Business and to industry standards adopted by SSI. + Collaborates in the development and updating of centralized reviews and query tracking of mutual fund trade activity and exceptions, estate and legal processes, Investment Support and Call Centre processes and ensures effective follow-up is in place for corrective actions or responses as required. + Prepares and develops the Head Office trade review procedures and supervises the Head Office Compliance team by conducting status reviews as required, ensuring that reviews are conducted in a timely manner as per Head Office trade review procedures. + Prepares and amends SSI policies, guides, manuals and job aides for submission to CORE. + Assists the Senior Manager, report events on COMETS as required under CIRO MFD Policy 3, preparation of the Quarterly Trends Report and other Compliance Reports by summarizing the results of Branch and HO reviews for Senior Management. + Acts as a reference source regarding regulations and legal issues applicable to SSI’s dealer operations in Canada. + Provides support to the branches/Wealth Management Service Centre by responding to questions about regulatory matters or Regulations and t support service to SSI’s customers. + Assists with the co-ordination/management of any Regulatory examinations by a Securities Commission or CIRO or any investigations and co-ordinate as requested and under the direction of the Manager of Compliance of the Chief of Compliance, provide input into any proposed new or amended regulation. + Ensures investigation results are gathered, determine the root cause of the issue and the associated impact and prepares the report accordingly. + Communicates regularly with leadership to identify challenges and obstacles related to the goals and objectives of the team. + Assist Senior Manager with the co-ordination/management of any examinations or investigations, and co-ordinate as requested, input into any proposed new or amended regulation. + Maintains up-to-date knowledge of applicable national and local Regulations through participation in industry associations and seminars, reviews of Provincial Securities Commission, CIRO, AMF (Quebec) and other industry publications. Attention to regulatory requirements such as CIRO MFD Policies 2, 5 and 6, Anti-Money Laundering/Anti-Terrorist Financing, and Privacy Regulations and other regulatory matters to perform case investigations. + Plans, documents and seeks agreement in advance to the special project approach and confirms conclusions upon completion in writing. + Shares subject matter expertise and provides specialized advice, guidance and direction to Compliance Officers on Regulations that deal with investor protection (e.g. trade suitability and other sales practices by registered staff, including privacy and sharing of information, and distribution of required disclosure materials.) + Provides mentoring, coaching and feedback regarding recommendations and best practices for enterprise surveillance and investigations, as appropriate. + Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. + Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank’s 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. + Champions a high-performance environment and contributes to an inclusive work environment. **Education/Experience** In order to perform the functions of the position, the following competencies are required: + Thorough knowledge of statutory and regulatory requirements including relevant National Instruments; CIRO MFD Rules, Policies and Regulatory Notices; CSA National and Multilateral Instruments; applicable provincial and territorial securities rules and regulations; and other applicable regulatory requirements, such as AML/CTF and Privacy as may be applicable or implemented from time to time + Sound technical knowledge of the GWM’s policies, procedures, operations, organization, internal controls and Scotiabank Group Compliance process; + Good technical knowledge of local corporate and Compliance issues, as well as related laws and regulations, including those relating to the development of new products, programmes and + business initiatives; + Good understanding of the general characteristics, attributes and risk factors associated with various securities and investment strategies for the purpose of assessing matters such as the suitability and legitimacy of investment strategies. + Strong written and verbal communication skills. + Superior knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research. + Sound judgment and communication and people skills in order to effectively interact with staff, branches, regulators and complainants. Effective reporting to senior management is a critical component of the job. + Ability to evaluate risk, identify control weaknesses, contribute to development of policies, implement supporting procedures and report on non-compliance effectively. 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, pleaseclick here (https://www.scotiabank.com/careers/en/careers/technical-support-for-applicants.html) . 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.