Administrator, Regulatory Oversight - Scotia Jarislowsky Fraser - Toronto

Scotiabank•Toronto, ON

4d•Onsite

About The Position

The Administrator, Regulatory Oversight supports the execution of regulatory governance and regulatory administrative functions for both Canadian and U.S. Scotia Jarislowsky Fraser (SJF) businesses. The role plays a critical part in ensuring ongoing compliance with regulatory obligations, responding to regulatory change, and maintaining effective controls, documentation, and governance practices. The incumbent understands the Bank’s risk appetite and risk culture and applies these principles to day-to-day activities and decision-making, ensuring compliance with applicable regulations, internal policies, and procedures.

Requirements

University Degree or College Diploma (Business, Economics, Accounting, Finance).
Previous experience with Tier 1 compliance/regulation
Thorough investment management know-how and a depth of experience required as it relates to understanding compliance and regulatory rules.
Solid understanding of Canadian Wealth Management objectives, strategies and structures.
Strong compliance knowledge and experience in Private Wealth and Investment Management
Ability to cultivate and maintain strong working relationships across multiple business lines.
Highly effective verbal and written communication skills to be able to effectively articulate views both within the Bank and externally.
Extensive knowledge of all applicable regulatory rules, guidelines, policies and requirements.
Strong interpersonal & collaboration skills

Nice To Haves

CSC & CIM

Responsibilities

Provide administrative and coordination support to the Manager in support of first-line compliance and regulatory oversight.
Assist with the execution and documentation of business-level controls, processes, and procedures, helping ensure alignment with internal policies and regulatory expectations.
Support collaboration with Compliance and Risk partners by tracking requests, maintaining documentation, and escalating issues as required.
Assist with audit and review activities, including preparation, evidence gathering, issue tracking, and follow-up support.
Help support the communication and implementation of policy, procedural, and regulatory changes impacting Relationship Managers and internal partners.
Maintain and update procedural guides, checklists, trackers, and reference materials to ensure accuracy and consistency.
Support the tracking and coordination of client complaints, regulatory inquiries, and reporting requirements, ensuring timely follow-up and escalation.
Provide general administrative support for compliance, regulatory, and operational risk activities, including coordination of reporting and record keeping.
Provide administrative and operational support to the 1832 Asset Management U.S. business within a regulated environment.
Support the end-to-end U.S. account onboarding process, including AML coordination, account setup, maintenance, and closures.
Act as a point of contact for onboarding and account maintenance inquiries, supporting internal teams as needed.
Support the onboarding and ongoing administration of 1832 U.S. Representatives, including documentation and system access tracking.
Coordinate activities related to Scotia McLeod and SJF Portfolio Managers becoming registered 1832 U.S. representatives.
Assist with the coordination of annual U.S. regulatory filings by tracking updates and gathering required information.
Maintain accurate records, trackers, and documentation to support internal reviews and regulatory requests.
Work closely with internal partners including Advisor teams, CWM Onboarding, ECS, and Compliance to support issue resolution.
Support client-facing teams by helping ensure timely responses to administrative and operational inquiries.
Maintain and update procedural documentation, checklists, templates, and assist with general administrative deliverables and process improvements.