Requisition ID: 188125

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

MD Management Limited, a division of Scotia Wealth Management, has an exciting opportunity for a talented and enthusiastic Regulatory Manager, Marketing Communications to join our team.

The role is primarily responsible for overseeing the marketing supervision process and reviewing all investment-related content created by MD as well as Scotia Wealth Management investment advisors. This includes material from campaigns and other materials as required. The Regulatory Manager ensures that all external communications and campaigns align with CIRO (formerly IIROC) requirements, applicable brand guidelines, and both internal and external communication policies. Key requirements include strong writing skills and communication acumen to both moderate and develop financial-markets-related content, while providing communication and marketing support for the suite of investment solutions offered through MD & Scotia Wealth Management. The position reports to the Senior Manager, Regulatory and Business Risk at MD with a dotted line to the Senior Manager, Advisor Investment Communications for Scotia Wealth Management.

Is this role right for you? In this role you will:

  • Foster a customer-focused culture and leverage broader Bank relationships, systems, and knowledge.
  • Have strong writing skills in the delivery of financial market investment advisory and strong grasp on how the markets function.
  • Execute on a dual mandate of (1) policy oversight: oversees the compliance reviews and approvals for investment-related advisor and IAS communications and (2) creative writing: contributes to content creation of the Advisor Investment Communications team.
  • Act as the primary contact for all compliance matters related to advertising, sales literature, and correspondence and conducts regulatory oversight, specifically marketing supervision, in accordance with applicable regulatory requirements including IIROC/CIRO Rule 3600 and internal policies and procedures to detect and/or prevent violations. For example, but not limited to:
  • Review of marketing material such as disclosure documents, signage, brochures, disclaimers, agreements/terms, and conditions
  • Managing the compliance marketing inbox and service levels
  • Monitoring social media
  • Be able to develop content within short timelines demonstrating a strong grasp of grammar/ editorial writing
  • Ensure that all marketing and investment communications are approved in accordance with CIRO and other regulatory requirements, internal & external policies and procedures, including marketing guidelines. Ensure the adequacy of the internal compliance and risk management processes and procedures at all times.
  • Provide marketing supervisory approvals across all communication mediums, including social media, newsletters, correspondences, presentations, market commentary, blogs and audio/visual content, with documentation of the evidence of supervision, and maintenance of the records for all approved materials. Escalate to MD & Scotia Wealth Management Compliance, Marketing, Business Risk or other relevant subject matter experts as required.
  • Liaise with Investment Advisory Services, Compliance, Legal, Marketing, Business Risk, and other stakeholders on compliance matters related to investment communications.
  • Lead the development and maintenance of the compliance policies, 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.
  • Contributes to the development of communications and marketing materials for campaigns and investment solutions.
  • Supports the Senior Manager, Regulatory & Business Risk with other areas of the program, as assigned. This may include but is not limited to:
  • Testing and monitoring of controls related to Privacy and Canadian Anti-Spam Legislation to detect and/or prevent violations and potential violations.
  • o Training and education of staff as it relates to laws, regulations and internal policies and procedures

o Maintaining a high level of awareness of regulatory changes and developments in the industry and supporting the Senior Manager, with updates to the Regulatory Control Library as needed

o Participating in special projects, as needed

Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:

  • The desire to lead by example - encouraging others to model your growth mindset, sound judgment, integrity, and proactive, yet authentic, internal and external relationship-building skills.
  • The ability to deliver - using your interpersonal, problem-solving, influencing, communication, and relationship-building skills to promote adherence to privacy requirements.
  • You embrace change - thriving in a diverse environment of ever-changing priorities where ambiguity, multitasking and tight deadlines are the norm.
  • A desire to learn -not only to further your knowledge of MD business objectives, but to stay apprised of applicable federal and provincial privacy laws and developments in the regulatory environment and privacy laws.
  • The capability to ?go up and down the ladder' - comfortable working at both strategic and operational levels, understanding key business drivers and tailoring business solutions to minimize/mitigate regulatory risk.
  • The ability to work independently and as part of a broader team, always seeking out new ways to collaborate and contribute.
  • You're a natural coach - possessing the ability to motivate others to achieve business critical goals and navigate through times of extreme change.
  • Confidence - in yourself, in your team and in the expertise you provide.
The Must Haves:
  • Exceptional communication skills, both with clients and with internal stakeholders
  • Detailed knowledge and understanding of CIRO/IIROC and/or equivalent financial industry regulators
  • University Degree or College Diploma in Business or related field and 5+ years of relevant experience in Compliance, Legal, Audit or Regulatory Affairs in the investment/wealth management industry
  • Ability to provide strong support to multiple and diverse groups of content creators
  • 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
What's in it for you?
  • We are big proponents of life-work integration and provide the flexibility and tools to achieve such.
  • We believe an inclusive and diverse work environment makes for happy and productive employees.
  • We recognize the importance of well-being and offer programs and benefits to support and sustain the mental and physical health of our employees and their families.
  • We know that financial security is important to you and we are here to help - competitive salaries and incentive programs, a defined contribution pension plan and an employee share option purchase program.
  • We realize time away to recharge is a non-negotiable - we offer a generous paid time off program.
  • We understand that cost-effective banking solutions means more money in your pocket - we offer a variety of preferred banking, credit card, mortgage and home/auto insurance options and discounts.
  • We love discounts. Through the WorkPerks program, you will have access to thousands of discounts with various vendors across Canada.

Location(s): Canada : Ontario : Ottawa

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. 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.

Additional Information

Ottawa, ON, Canada

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