Electronic Communications Analyst, Internal Controls - Toronto, Canada - Scotiabank

Scotiabank

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Requisition ID: 161888

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

Purpose:

Contributes to the overall success of the GWM Internal Controls Monitoring and Testing Program, ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team's business strategies and objectives.

Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities:

Execute and report the results of the eCommunications Monitoring Program primarily focused on Asset Management businesses (e.g. 1832 AM, PIC and JFL).
Review electronic communications thoroughly and exhibit a high level of understanding relating to those communications required to be escalated to management
Maintain an informed and consistent level of knowledge of regulatory requirements and system functions, reduce regulatory, reputational, and financial risk to Global Wealth Management.

Contribute to the activities relating to data analysis supporting the GWM Business Line:

Perform research, analysis, and maintenance of client data within the appropriate internal system(s)
Ensures work is processed and distributed accurately according to established SLA's
Work directly with other business units to resolve adhoc issues
Responsible for the escalation to Manager, Senior Manager, and appropriate Compliance Department of all matters which may present a potential issue
Execute additional responsibilities focused on Business Unit and Branch / Field Support initiatives, as required. Maintain and develop technical skills and increase ability to navigate through Excel spreadsheets and databases efficiently and accurately
Follow the eCommunications escalation process and address issues identified by sending the customized escalation templates, in a timely matter.
Communicate with business unit(s) when electronic communication concerns are identified by explaining the applicable regulatory and BNS requirements.
Provide daily, weekly, and monthly results, reporting and statistics to Management
Identify and escalate to Management trends, repeat findings, and patterns of identified issues.
Participate in initiatives to increase awareness of eCommunications conduct.
Conduct periodic analysis on the supervised employees lists (registrants and traders) to ensure accuracy and provide updates to relevant partners (Technology, Project Delivery and Global Relay Vendor).

Performs duties in a professional and thorough manner:

Ensuring that the daily work volumes are completed according to deadlines and that service standards are

always met.

Perform other duties as assigned to enhance the monitoring team's support capabilities and success.
Effectively communicate with other business partners and frontline employees regarding firm policy and regulatory requirements, when needed.
Assist wealth business units to resolve issues, as required
Actively participate in teamlearning development activities and teamperformance achievements
Provide relief for and assume responsibility of other colleagues in their absence
Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
Understand how the Bank's risk appetite and risk culture should be considered in daytoday activities and decisions.
Actively pursues effective and efficient operations of their 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 daytoday business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
Champions a highperformance environment and contributes to an inclusive work environment.

Education & Experience:

Post-Secondary Education completed
Required.
CSC (Canadian Securities course)
Preferred.

French Proficiency

Nicetohave

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.