Manager & Supervision Regulatory Oversight

Scotiabank; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

A leading bank in the Americas is seeking a Manager for Supervision & Regulatory Oversight in Toronto, Ontario. This role involves developing compliance policies, providing regulatory advisory support, and using data analysis to identify risks. Ideal candidates will have investment industry experience and proficiency in tools like Power BI. Join this inclusive environment committed to excellence and result-driven performance for your successful career.

Qualifications

• 1+ years of investment industry experience, preferably in compliance.
• Strong understanding of regulatory requirements, AML/CTF obligations.
• Exceptional organization and time management capabilities.

Responsibilities

• Develop and maintain compliance policies and procedures.
• Provide advisory support using reports and trend analysis.
• Identify and analyze compliance risks using data-driven techniques.

Skills

Data analysis

Regulatory compliance knowledge

Strong communication skills

Analytical skills

Organizational skills

Education

University degree or college diploma in a relevant field

Completion of Canadian Securities Course

Tools

Power BI

Microsoft applications

Job description

Title: Manager, Supervision & Regulatory Oversight

Requisition ID: 250553

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

Purpose

The Manager, Supervision & Regulatory Oversight is responsible for the execution of the monitoring and surveillance program for Scotia Jarislowski Fraser in accordance with governing regulations, internal policies and procedures.

Accountabilities

1. Data‑Driven Policy Development & Compliance Administration

Develop, refine, and maintain compliance policies, procedures, and reference materials using data insights to ensure alignment with regulatory expectations and internal standards. Use source‑system analytics to identify policy gaps, validate control effectiveness, and support evidence‑based updates to documentation. Maintain structured, version‑controlled records ensuring timely updates following regulatory or operational changes.

2. Regulatory Advisory & Analytics‑Enabled Business Support

Provide advisory support using dashboards, exception reports, and trend analyses to inform business partners on regulatory requirements, policy interpretation, and control expectations. Translate regulatory standards into measurable, data‑supported compliance controls. Align compliance analytics with business objectives to strengthen governance and operational consistency across SJF.

3. Risk Identification, Investigations & Data Analysis

Apply data‑driven techniques to identify actual, potential, or perceived compliance risks at an early stage, leveraging system alerts and behavioural indicators. Conduct inquiries and investigations supported by data extraction, cleansing, trend analysis, and correlation of findings across systems. Document outcomes and recommend evidence‑based risk‑mitigation strategies to prevent regulatory breaches.

4. Oversight, Reporting & Branch Monitoring Through Analytics

Develop and maintain Power BI dashboards that deliver transparency into oversight results, compliance trends, and key risk indicators across SJF branches. Produce structured reporting packages that support regulatory expectations, internal audit standards, and management oversight. Conduct periodic analytical testing of controls to validate performance, highlight exceptions, and identify opportunities for process and data quality improvements.

5. Handling Complex Compliance Cases Using Data Insight

Evaluate matters related to Powers of Attorney, Seniors & Vulnerable clients, estate distributions, and other complex scenarios using data‑supported assessments. Exercise sound judgment in moderately complex cases, escalating high‑risk situations or out‑of‑policy findings to senior leadership. Ensure data‑based evidence is used to inform decisions and determine appropriate risk responses.

6. Industry Knowledge, Regulatory Trends & Data Literacy

Stay current with emerging regulatory developments, industry best practices, and advancements in data analytics, digital oversight tools, and compliance technology. Enhance personal expertise by participating in ongoing learning opportunities related to analytics, monitoring frameworks, and regulatory interpretations. Contribute to the modernization of SJF’s compliance program through adoption of innovative, data‑enabled methodologies.

7. Stakeholder Communication & Insight‑Driven Collaboration

Present data‑driven insights to internal teams and senior management in clear, actionable formats through dashboards, written reports, and presentations. Build strong relationships with business units, operations, and compliance colleagues, acting as a trusted advisor on regulatory implications, control enhancements, and data interpretation. Support discussions with stakeholders to align compliance efforts with enterprise‑wide governance standards.

8. Process Optimization & Digital Efficiency Enhancements

Identify and implement opportunities to automate oversight tasks, streamline workflows, and enhance efficiency using technology and advanced analytics. Support testing initiatives, system enhancement projects, and continuous improvement activities focused on improving data integrity and reporting accuracy. Participate in compliance‑related initiatives that strengthen operational resilience and act as backup support for colleagues when required.

Education/Experience

• University degree or college diploma in a relevant field.
• 1+ years of investment industry experience, preferably within an ICPM environment or a compliance related function.
• Completion of Canadian Securities Course, Conduct & Practices Handbook, and Canadian Investment Manager Program; additional CSI courses are an asset.
• Strong understanding of regulatory compliance requirements, AML/CTF obligations, privacy rules, and securities regulations.
• Demonstrated experience with data analysis, reporting tools, and Microsoft applications; Power BI proficiency strongly preferred.
• Strong analytical, investigative, and communication skills with the ability to interpret complex data and regulatory concepts.
• Exceptional organization, prioritization, and time management capabilities; ability to handle sensitive information responsibly.
• Superior knowledge of Microsoft applications and familiarity with the internet and related applications as tools for conducting compliance related research (basic programming knowledge is an asset).
• Strong analytical skills and a keen eye for detail.
• Capable of simultaneously handling multiple tasks and meeting stringent deadlines.
• Well‑developed inter‑personal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members.
• Able to recognize and handle sensitive and confidential information.
• Self‑motivated, confident and capable of working both independently and in a team environment.

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.