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    Bilingual Senior Operations Representative - Toronto, Canada - Scotiabank

    Scotiabank
    Scotiabank Toronto, Canada

    6 days ago

    Scotiabank background
    Description

    Purpose

    The Senior Operations Representative (Bilingual) will provide day-day processing coverage of a variety of high-volume brokerage operational financial and non-financial transactions as well as ensuring integrity of client information and balances. Operational knowledge required in this role may include but is not limited to Client Onboarding, Account Management, Certificate and Cheque Deposits, Regulatory Documentation, Brokerage Transfers, Cash Management & Registered Products.

    The successful candidate will demonstrate thorough knowledge of compliant operational processes and procedures to provide accurate information and solutions when responding to internal and external customer inquiries and issues. They will possess proficient telephone, email and written communications skills when corresponding with clients, iTRADE colleagues or internal/ external partners.

    Accountabilities

    1. To ensure the efficient and effective handling of operational / administrative financial and non-financial transactions on behalf of iTRADE brokerage clients:

  • Ensure transaction requests are completed within SLA and in compliance with to business policy with a high degree of competence within defined service levels
  • Ensure customer and corporate records are accurately maintained and reconciled in order to minimize firm exposure or risk
  • Ensure that client or firm risk is mitigated but reporting anomalies to the Manager
  • Exercise discretion and sound judgment when correcting errors
  • Monitor client accounts to ensure that appropriate documentation changes have been made, and correction requests have been completed
  • Process various client and internal requests, transfers and / or conversions (which will vary in dollar amount and difficulty)
  • Develop and maintain a robust knowledge of department and business policies
  • Successful completion of industry or business line courses/ skill-building sessions as approved by manager, to ensure an up to date knowledge of industry policies and procedures

    • 2. To ensure a superior level of client experience:

  • Respond to inquiries from clients and other teams/business partners in an informed, efficient manner, within established SLAs
  • Efficiently resolve complaints and errors, using proper judgement to refer complex issues or escalations to your Manager
  • Liaise with various support partners such as Compliance or Wealth Operations when needed, to ensure client issues are resolved in a timely manner
  • Perform financial corrections and adjustments in client accounts within authorized limits and/or defined approval criteria
  • Actively review policies and procedures posted on WealthNet and Quick Agent and request revisions to procedures as necessary to ensure current, accurate information at all times

    • 3. To actively collaborate with internal staff and support departments to ensure that business needs are met:

  • Actively participate in team learning through active cross-training, developmental and team performance activities including team meetings and coaching sessions
  • Obtain and forward necessary documentation to customers and / or other departments to ensure transactions are completed efficiently and accurately
  • Pro-actively investigate and follow up on inquiries or escalations and refer to Manager as necessary
  • Collaborate with colleagues within iTRADE or other partners across the Bank to ensure client request are responded to effectively and efficiently.
  • Participate actively in team learning, development and team performance activities including team meetings and coaching sessions
  • Investigate and follow up on inquiries as required, collaborate with compliance, legal, management, etc as required
  • Provide reports and statistical information to management and / or other departments as required

    • 4. To minimize potential risk and harm for the business:

  • Ensure thorough knowledge and understanding in areas including anti-money laundering, anti-terrorist financing, privacy laws, compliance, legal requirements, Know Your Customer, firm / industry policies and procedures, etc
  • Act quickly to alleviate errors and reduce firm exposure
  • Adhere to the Guidelines for Business Conduct and Privacy Code, demonstrating a full understanding of the legal implications of dealing with customer requests while all times maintaining the confidentiality of customer information
  • Adhere to the policies and practices that regulate the investment Industry by escalating all complaints and /or potential risk

    • Education/Work Experience/Designations

  • Fully bilingual in English and French
  • Post-secondary education
  • 2+ years industry experience
  • Canadian Securities Course (CSC) and Conduct and Practice handbook (CPH) an asset
  • Prior knowledge of the securities / brokerage operations including areas such as Client Onboarding, Brokerage Transfers, Cash Management and Regulatory Documentation
  • Prior knowledge of financial industry policies and regulations including AML, Privacy, KYC and CASL
  • Strong organization, problem solving, customer service and communications skills
  • Strong time management skills to ensure Service Levels are always maintained
  • Ability to work with computer-based platforms and applications
  • Knowledge of AS400, Broadridge, SCORE, WebPost, OAM/ICON or STAR an asset
  • Ability to work in a fast-paced environment where volumes are directed by market activity, customer demands and seasonal peaks
  • Ability to work with others under a self managed team structure showing concern and understanding for the needs of customers and staff
  • Ability to set and achieve goals, with guidance and coaching from management
  • Ability to exercise discretion with sensitive information
  • Demonstrated PC user skills including word processing, MS Office, spreadsheets, and database management
  • Ability and desire to learn new tasks willingly
  • Strong organizational, problem solving and communication skills

    • Dimensions:

    The incumbent will work independently within the boundaries of existing business policies and guidelines. He / she is expected to demonstrate a high level of competency by processing high volumes of financial or non-financial transactions, responding to internal and client inquires and working on ad hoc projects as required.

    The incumbent will escalate complex issues / situations to their Team Manager or Manager as necessary. The incumbent does not have the authority to override policy without Manager approval.

    The incumbent must demonstrate strong communication skills so that he / she can effectively provide detailed information to various departments.

    The incumbent must exercise judgment in the prioritization of his / her workload. The incumbent must adhere to processing deadlines (within established SLA), such that customer satisfaction / processing efficiency levels are met and maintained.

    Working Conditions:

    Due to the fast-paced nature of the business, numerous factors can attribute to a high level of mental stress in this position including volatile financial markets, new strategic initiatives and service centre needs that may spontaneously arise. This position is physically stationary (primarily phone, meetings, computer-based). There is every day / regular use of PC and internet technologies. The incumbent must be able to manage multiple interruptions from staff, other departments, branches etc, while at the same time maintaining his / her workload.

    The incumbent must be able to rapidly respond to inquiries in an intelligent and informed fashion.

    Multiple often conflicting priorities, aggressive delivery or problem resolution lead time and highly valuable, highly sensitive customer relationships.

  • Open office environment with constant background noise
  • High call volumes, with customers becoming very agitated as on-hold times rise
  • Concentrated use of sight and hearing when reviewing documentation / reports / preparing various financial documents
  • Flexibility of hours is a typical requirement for this position. (Beyond the traditional 9-5 workday, sometimes including evening / weekend work depending on business volume).
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