Senior Manager, Regulatory and Learning - Toronto, ON

Scotiabank•Toronto, ON

3d•Onsite

About The Position

The Senior Manager, Regulatory & Learning Excellence is responsible for leading Continuing Education (CE) compliance, regulatory learning processes, and learning initiatives. This role oversees CE tracking, registration related workflows, strategic learning system modernization, and cross business collaboration to ensure regulatory adherence and operational consistency. The position also provides leadership in the budgeting process, vendor governance, and the development of insights that drive learning effectiveness across the organization.

Requirements

University degree
At least 5 years of experience in Wealth Management
Project management certification or experience is required
Excellent written, verbal and presentation skills
Proficient in Microsoft Word, Excel and PowerPoint, learning systems or digital tools
Ability to work well in a team environment
Strong relationship building, negotiation, and stakeholder management capabilities
High degree of initiative

Nice To Haves

Strong working knowledge of regulatory frameworks, such as CIRO proficiency and CE programs, is preferred
Professional courses or examinations related to the wealth management regulatory environment (e.g., CSC, CIRE) are an asset

Responsibilities

Lead end to end governance of CIRO Continuing Education (CE), including tracking registrant progress, interpreting industry standards, and ensuring all regulatory requirements are met and accurately documented.
Oversee CE compliance for both annual and multi year cycles, ensuring timely tracking, reporting, and audit readiness.
Oversee the review and application of CE credit hours for internal learning content and coordinate CSI designation submissions where applicable.
Manage all regulatory and CE related mailboxes within Training and Development.
Maintain a centralized CE and regulatory resource hub that provides clear access to policies, tools, and required documentation.
Collaborate with CE leads, regulatory partners, and internal stakeholders to ensure aligned processes, shared insights, and consistent execution.
Continuously assess and refine CE and licensing processes, identifying opportunities to enhance efficiency, accuracy, and learner experience.
Escalate issues to Learning Partners and/or CSI contacts as needed to ensure prompt resolution.
Provide leadership for priority learning and regulatory modernization projects, guiding cross functional teams as needs evolve.
Lead the learning-focused streams of the CE Harmonization Project and other CIRO initiatives, collaborating with project partners while concentrating on learning workflows, process efficiencies, and the implementation of automated solutions (e.g., automated CE learning tracking solution).
Establish and oversee CE and regulatory learning strategies that contribute to enterprise-wide consistency and continuous improvement.
Champion standardized, compliant project execution across business lines, ensuring smooth adoption and operational alignment.
Identify knowledge gaps through deep partnership with branches and Head Office; collaborate with SMEs to confirm process integrity and enhance learning solutions.
Shape and refine learning strategies by contributing to curriculum design, content creation, and program development across the Training & Development team.
Ensure all regulatory and dealer member training programs remain current, compliant, and reflective of evolving industry requirements.
Support the coordination and execution of learning events as needed, ensuring smooth delivery and strong learner engagement.
Lead vendor management and procurement activities (e.g., Coupa), ensuring contracts, services, and deliverables effectively support learning, CE, and regulatory initiatives.
Conduct thorough reviews of vendor agreements, validating scope, service levels, compliance implications, and alignment with organizational expectations before approval.
Foster a connected Learning, CE and regulatory partner community across business lines, promoting alignment, shared understanding, and streamlined communication.
Oversee annual and initiative based budgeting for Practice Excellence/Training & Development and regulatory learning, ensuring accuracy, transparency, and alignment with organizational goals.
Track, analyze, and report learning and CE related metrics, transforming data into actionable insights that guide strategic planning, decision making, and continuous improvement.
Partner with HR Learning Metrics, CWM Analytics teams and business stakeholders to refine dashboards, improve data quality, and enhance reporting accuracy.
Identify opportunities to optimize internal and external learning costs (e.g., vendor spend, duplication of content, process inefficiencies) to improve return on learning investment.