- Ensure transaction requests are completed compliantly according 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 Team Manager or 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 customer and internal requests, transfers and / or conversions (which will vary in dollar amount and difficulty)
- Respond to inbound inquiries from the Call Centers in an informed, efficient manner, within established SLAs
- Efficiently resolve complaints and errors, using proper judgement to refer complex issues or escalations to your Team Manager or 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 participate in a 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 Team Manager or Manager as necessary
- Collaborate with iTRADE Call Centers or other partners across the Bank to ensure client request are responded to effectively and efficiently.
- Provide reports and statistical information to management and / or other departments as required
- Develop familiarity in areas including money laundering, anti-terrorist financing, privacy laws, compliance, legal requirements, Know Your Customer, etc
- Act quickly to alleviate errors such that firm exposure / risk is reduced
- 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 firm / industry by escalating complaints and / or potential risk exposure to management; take appropriate measures to reduce and prevent reoccurrence of error / problem situations
- CSC is an asset
- Post-secondary degree/diploma is preferred.
- Strong communication skills to effectively provide detailed information to various departments.
- Exercise sound judgment in the prioritization of workload.
- Adhere to processing deadlines (within established SLA), such that customer satisfaction / processing efficiency levels are met, and maintained.
- Must be able to manage multiple interruptions from staff, other departments, branches etc, while at the same time maintaining his / her workload.
- Must be able to rapidly respond to inquiries in an intelligent and informed fashion.
- Ability to handle conflicting priorities, aggressive delivery or problem resolution lead time and highly valuable, highly sensitive customer relationships.
OLB Operations Representative - Toronto, Canada - Scotiabank
Description
Purpose
As the OLB Operations Representative, you 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 Account Management, Regulatory Documentation, Brokerage Transfers, & Registered Products. You must demonstrate thorough knowledge of compliant operational processes and procedures, in order 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.
Key Accountabilities
1. To ensure the efficient and effective handling of operational / administrative financial and non-financial transactions on behalf of iTRADE brokerage clients:
2. To ensure a superior level of customer experience and client experience:
3. To actively collaborate with internal staff and support departments to ensure that business needs are met:
4. To minimize potential risk and harm for the business:
Qualifications