Manager, Scotia Securities Inc. Compliance

Scotiabank; Toronto; On-site; CAD 70,000 - 90,000; Full time

Job summary

A leading financial institution in Toronto is seeking a Compliance Officer to ensure adherence to legal and regulatory requirements, conduct internal investigations, and support compliance oversight. The ideal candidate will contribute to protecting investor interests and ensuring transparency in operations, while also participating in regulatory examinations. This role requires a commitment to maintaining high standards of compliance and integrity in a dynamic financial environment.

Responsibilities

• Ensure compliance with governing regulations and internal policies.
• Participate in investigations and document findings.
• Support 2nd line compliance oversight and investigations.

Job description

Overview

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 Scotia Securities Inc. (SSI) / Global Compliance GWM in Canada ensuring 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:

Bullet points under Accountabilities have been preserved as list items in the Refinement, see below.