**Job Title: Compliance Manager - Client Complaint Handling**

**Requisition ID:** 213441

**Location:** Toronto, Ontario, Canada

**Purpose:**
Responsible for ensuring compliance with regulatory expectations regarding client complaint handling for various Canadian Wealth Management entities within the Scotiabank Group.

**Accountabilities:**
- Oversee complaints and ensure their handling, including client responses, comply with relevant securities laws, regulations, and policies established by regulators, including CIRO and AMF.
- Lead the development, maintenance, and execution of supporting policies, procedures, manuals, and guides for oversight of the Wealth Management complaint handling process.
- Collaborate with service providers/support units (e.g., Scotiabank Operations, Escalated Customer Concerns Office, Contact Centres).
- Work with the Director to foster customer trust and satisfactory relationships with regulators, while minimizing risk of financial loss, reputational damage, and regulatory sanctions.
- Respond to queries related to complaints, legal proceedings, regulatory matters, compliance policies, and procedures in collaboration with compliance staff and business units.
- Coordinate/manage regulatory examinations, internal audit reviews, or investigations as directed by the Director of Wealth Management Complaints.
- Ensure oversight of the regulatory complaints team by conducting status reviews and ensuring timely resolution of complaints and regulatory issues.
- Prepare internal and external reports, including progress on implementing policies and corrective actions, and provide trending analysis of regulatory complaints and investigations.
- Assist with regulatory reviews and information requests related to Canadian Wealth Management entities.

**Education/Experience:**
- University Degree.
- Minimum 5 years of related experience at a large financial institution or established regulatory agency.
- Relevant securities courses (e.g., Canadian Securities Course, Conduct and Practices Handbook Course).
- Experience in Canadian Banking or Wealth Management is an asset.
- General understanding of Canadian regulatory trends and skills to translate requirements into effective policies and procedures.
- Excellent judgment, strategic thinking, attention to detail, and strong written and verbal communication skills.
- Ability to learn and adapt to changing regulatory environments and work independently or with other staff across functional lines.
- Bilingual in English and French is an asset.

**Company Overview:**
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 financial services. We are committed to creating and maintaining an inclusive and accessible environment for everyone.

**Application Process:**
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 selected for an interview will be contacted.