Toronto, ON, CA, M5H3Y2
Business and Financial Operations
Requisition ID: 172430
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Manager, Investment Communications is primarily responsible for overseeing the compliance process and reviewing all investment-related content created by ScotiaMcLeod investment advisors and the Investment and Advisory Solutions (IAS) team in Canada. The Manager ensures that all communications align with IIROC requirements, Scotia Wealth Management brand guidelines, and internal communication policies. Key accountabilities also incorporate strong writing skills to develop financial markets related content along with communication and marketing support for the suite of fee-based investment solutions offered by Scotia Wealth Management. The position reports to Senior Manager, Investment Advisory.
- Fosters a customer-focused culture and leverages broader Bank relationships, systems, and knowledge.
- Strong writing skills in the delivery of financial market investment advisory and strong grasp on how the markets function
- Executes on a dual mandate of (1) compliance: oversees the compliance reviews and approvals for investment-related advisor and IAS communications and (2) creative writing: contributes to content creation of the Investment Communications team.
- Ability to develop content under short timeline demonstrating strong grasp of grammar/ editorial writing
- Acts as the primary contact for all compliance matters related to advertising, sales literature, and correspondence as it relates to the responsibilities of the broader IAS team.
- Ensures that all marketing and investment communications are in accordance with IIROC and other regulatory requirements, internal policies and procedures, including Scotia Wealth Management marketing guidelines. Ensures the adequacy of the internal compliance processes and procedures at all times.
- Provides compliance approvals, documents the evidence of supervision, and maintains the records of all approved materials. Escalates to ScotiaMcLeod Compliance, Marketing, or other relevant subject matter experts as required.
- Liaises with IAS, Scotia Wealth Management Compliance, Legal, Marketing, and other stakeholders on compliance matters related to investment communications. Leads the development, maintenance, and update of the compliance policies for the broader IAS team, including the oversight, reviews, and updates of all relevant disclaimers and disclosures.
- Communicates emerging issues or problems to applicable stakeholders and identifies timely solutions, where applicable. Actively solicits input from colleagues and other internal groups to develop and implement or improve communication and compliance programs and sales tools. Ensures adherence to brand standards.
- As a member of the Investment Communications team, contributes to the development of communications and marketing materials for the Scotia Wealth Management suite of fee-based solutions.
- Contributes to the effective functioning of the IAS team and Investment Communications team by proactively sharing best practices, building effective working relationships, maintaining a high level of customer service, and encouraging the generation of new ideas and approaches.
- Adheres to or implements measurement and control processes: to manage business risk and ensure the most efficient and effective use of resources to support the business.
- Directs the day-to-day activities in a manner consistent with the Bank's risk culture and the relevant risk appetite statement and limits.
- Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank's Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
- Detailed knowledge and understanding of IIROC/industry compliance regulations
- 5+ years of relevant experience in the investment/wealth management industry, preferably in a high net worth environment
- Bilingual (French and English) considered an asset
- Ability to provide strong support to multiple and diverse groups
- Excellent interpersonal and relationship-building skills – experience working with wealth advisors is considered an asset
- Strong project management skills, ability to work independently, manage a very high level of volume, and meet tight deadlines
- Proficient in Excel, PowerPoint, Word, and Adobe Creative Suite
- Exceptional written skills
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.