Senior Manager, Tangerine Investment Funds Compliance

Offre d’emploi originale

The Senior Manager will lead compliance advisory activities and ensure regulatory readiness for new business initiatives within Tangerine Investment Funds Limited. They are responsible for conducting risk assessments, maintaining compliance frameworks, and overseeing monitoring activities to ensure adherence to securities regulations.

Détails du poste

Requisition ID: 272101 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) Compliance in Canada by ensuring specific business initiatives are executed and delivered in support of the department's business strategies and objectives. Ensures all activities are conducted in compliance with governing regulations, internal policies, and procedures. Supports the Director, Compliance in maintaining an effective compliance management framework and providing regulatory oversight to TIFL initiatives. Leads compliance advisory activities as assigned associated with new and evolving business initiatives to ensure regulatory readiness, appropriate risk management, and adherence to applicable securities regulations, industry standards, and internal governance requirements. Accountabilities Serves as a trusted compliance advisor to business partners and project teams, providing compliance guidance and challenge throughout the lifecycle of new business initiatives, products, services, and strategic projects. Supports the Director, Compliance in establishing regulatory readiness for new business initiatives by identifying applicable regulatory requirements, assessing compliance risks, and recommending appropriate controls and governance measures. Conducts comprehensive compliance risk assessments for proposed business activities, operational changes, and strategic initiatives, documenting risks, mitigating measures, and residual risk considerations. Leads the drafting, review, implementation, and maintenance of compliance-related policies, procedures, standards, guidelines, and supervisory controls to ensure alignment with regulatory expectations and business objectives. Develops and enhances compliance monitoring and testing activities designed to assess the effectiveness of controls and identify potential compliance gaps. Partners with business stakeholders, Legal, Risk Management, Operations, and other control functions to ensure compliance requirements are incorporated into business processes, systems, and operating models. Identifies emerging regulatory developments, industry trends, and regulatory risks, assesses business impacts, and recommends actions to maintain ongoing compliance. Provides compliance support for regulatory examinations, internal audits, compliance reviews, and regulatory inquiries, including remediation planning and implementation. Creates, updates, and delivers mandatory compliance training programs to support employee awareness and understanding of regulatory obligations, internal policies, and conduct expectations. Develops communications, presentations, and reporting materials for senior management, governance committees, and compliance forums regarding regulatory developments, risk assessments, compliance initiatives, and program effectiveness. Establishes and maintains effective working relationships with regulators, business partners, and internal stakeholders to support a strong culture of compliance and ethical conduct. Monitors compliance issues, incidents, and regulatory developments, ensuring timely escalation of significant matters to the Director, Compliance and appropriate governance forums. Oversees 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. Understands 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 in accordance with Scotiabank's Values, Code of Conduct, and applicable regulatory requirements while ensuring the adequacy, adherence to, and effectiveness of compliance controls. Champions a high-performance environment and contributes to an inclusive work environment. Education/Experience University degree in Business Administration, Finance, Law, Economics, Commerce, or a related discipline. Minimum 5 years of progressive compliance, regulatory, legal, risk management, audit, or governance experience within the securities, wealth management, mutual fund, investment fund management, or banking industry. Have worked in a digital or hybrid wealth management environment. Strong knowledge of CIRO Rules, Canadian securities legislation, investment fund regulatory requirements, and industry best practices. Demonstrated experience performing regulatory assessments and providing compliance guidance for new products, projects, business initiatives, and operational change management activities. Experience developing and implementing compliance policies, procedures, controls, and governance frameworks. Experience creating and delivering compliance training programs and awareness initiatives. Strong understanding of compliance risk assessment methodologies and compliance management systems. Proven ability to influence stakeholders and challenge business decisions effectively while maintaining strong working relationships. Demonstrated ability to take ideas from 0 to 1, translating strategic vision into scalable products, capabilities, and business outcomes. Strong analytical, problem-solving, and critical-thinking skills. Excellent verbal and written communication, presentation, and stakeholder management skills. Ability to manage competing priorities and deliver high-quality work under tight deadlines. Proficiency with Microsoft Office applications including Excel, PowerPoint, Word, and Visio. CSC, CPH, CIM, or equivalent industry designation considered an asset. Experience within a registered mutual fund dealer, investment fund manager, or other CIRO-regulated entity is preferred. 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.

Ce que vous ferez

The Senior Manager will lead compliance advisory activities and ensure regulatory readiness for new business initiatives within Tangerine Investment Funds Limited. They are responsible for conducting risk assessments, maintaining compliance frameworks, and overseeing monitoring activities to ensure adherence to securities regulations.

Exigences

Candidates must possess a university degree and at least 5 years of progressive experience in compliance, risk management, or legal roles within the financial industry. Strong knowledge of CIRO rules, Canadian securities legislation, and experience in wealth management environments are essential.

Compétences indiquées

• Résolution de problèmes · Souhaitée
• Policy development · Souhaitée
• Communication · Souhaitée
• Stakeholder Management · Souhaitée

Autres compétences pertinentes

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Compliance management
• Regulatory oversight
• Risk assessment
• Investment fund regulations
• Policy development
• Stakeholder management
• Advisory
• CIRO rules
• Wealth management
• Internal audit
• Governance frameworks
• Operational change management
• Training delivery
• Analytical skills
• Problem-solving
• Communication
• Compliance Management
• Compliance Auditing
• Influencing Skills
• Regulatory Oversight
• Workplace Inclusivity
• Know Your Customer
• Industry Standards
• Business Objectives
• Compliance Risk
• Private Banking
• Business Decisions
• Ethical Standards And Conduct
• Planning
• Legal Risk
• Microsoft Excel
• American Sign Language (ASL)
• Banking
• Business Administration
• Commercial Banking
• Management
• Business Process
• Strategic Planning
• Investments
• Capital Markets
• Change Management
• Compliance Training
• Critical Thinking
• Document Formatting
• Economics
• Finance
• Governance
• Scalability
• Investment Banking
• Problem Solving

Domaines d’emploi

• Finance & Accounting
• Management & Leadership
• Legal
• Investment Compliance Analyst
• Investment Fund Manager
• Financial and Investment Advisers
• Investment Fund Managers
• Financial Managers