Manager, Ssi Supervision - Toronto, Canada - Scotiabank

Scotiabank

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Requisition ID: 193532

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

As a Manager, Scotia Securities Inc.

(SSI) Supervision, you will be responsible for leading and overseeing the execution of the SSI Tier I program in Canada, ensuring business strategies, plans and initiatives are executed and delivered in compliance with governing regulations and internal policies and procedures.

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

Leads and drive a client focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
Supervise the daytoday operations of the SSI Tier 1 reviews
Assist the Supervision team with Tier 1 reviews when volumes exceed capacity
Follow up on deficiencies identified in Tier 1 review and escalate when corrective action is past acceptable time frames
Identify compliance trends to further improve Retail Branch programs
Deliver training sessions where required to promote awareness of correct Tier I process
Liaise with multiple business units (SSI Compliance, Wealth Management Registrations, Customer Complaints)

The Must Haves:

13 years' people leadership experience
Licensed to sell mutual funds in Canada is required
Branch Compliance Officer (BCO) course is required
Undergraduate University Degree, preferably in business or administration, &/or related work experience
Thorough knowledge of Branch Compliance Officer responsibilities, processes, and guidelines
Knowledge of SSI and Bank policies, procedures and manuals for the sale and distribution of mutual funds
Flexibility to work overtime is required/expected during peak investment season (usually December
February)

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 ability to evaluate risk and identify control weaknesses to recommend actions, and to follow-up and report on noncompliance effectively
Initiative and the ability to work efficiently and effectively in a fastpaced, team environment
Effective communication skills both verbal and written
Strong organization and time management skills
An ability to make judgement calls and decisions independently
Critical thinking skills
An ability to be resourceful

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.