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Compliance Analyst, Asset Management Compliance (Contract)
Location:
Toronto
Description:
Requisition ID: 189679 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Job Purpose The Compliance Analyst, Asset Management will assist in providing compliance monitoring, direction, and advice to business units and related entities providing asset management services within Scotiabank to help ensure compliance with governing regulations and internal policies and procedures. Key Accountabilities Provide support to the Manager, Compliance within Scotiabank’s Asset Management division in carrying out day-to-day compliance functions and the development, updating and administration of Compliance procedures, training and reference materials. Generate and assist in creating branch compliance reports to clearly identify deficiencies to the business within the prescribed formats and deadlines to minimize the risk of violations (actual, potential, and perceived) of regulations, rules, laws, internal policies and procedures or other risk situations. Assist in the timely and effective administration of Compliance controls for conflicts of interest including personal trading, gifts and entertainment, personal financial dealing and outside business activities. Review of various account related documentation for completeness and to ensure compliance with internal policies and regulatory requirements. Assist in compliance projects across Asset Management units (including affiliates) and perform other duties as assigned. Ensure that compliance reviews are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken and complex matters and issues requiring further guidance are escalated. Serve as a compliance resource providing back-up support to colleagues and responding to compliance queries from the various business units in the Asset Management division. Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence. Visit ListedBuy for more information.
Company:
Scotiabank
Posted:
December 7 2023 on ListedBuy
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Compliance Analyst, Asset Management Compliance (Contract) is a Other Art & Media Jobs Manager Job at Scotiabank located in United States. Find other listings like Compliance Analyst, Asset Management Compliance (Contract) by searching Oodle for Other Art & Media Jobs Manager Jobs.
Compliance Analyst, Asset Management Compliance (Contract) is a Other Art & Media Jobs Manager Job at Scotiabank located in United States. Find other listings like Compliance Analyst, Asset Management Compliance (Contract) by searching Oodle for Other Art & Media Jobs Manager Jobs.