Bilingual Ssi Supervision Specialist

2 weeks ago

Montreal, Quebec, Canada Scotiabank Full time
Requisition ID: 197974

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

The SSI Supervision Specialist contributes to the overall success of the Scotia Securities Inc.

(SSI) Business Controls & Supervision department, ensuring specific individual goals, plans and initiatives are executed/ delivered in support of the team's business strategies and objectives.

As a licensed Branch Compliance Officer (BCO), the SSI Supervision Specialist ensures all activities conducted, are in compliance with governing regulations, internal policies, and procedures.


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

  • Monitor client mutual fund trade activities utilizing exceptions reports, with a focus on unusual/irregular activity and conduct additional reviews such as excessive activity and other reports as required
  • Followup on issues and ensure deficiencies are communicated effectively to the Registered Representatives/BCOs
  • Assist in the control, evaluation, and response to any serious irregular activity, such as fraud, kiting, money laundering or serious incidence of noncompliance, as well as negative trends and any known or perceived weaknesses in policies, practices, procedures, systems, or training which could lead to noncompliance
  • Provide support and guidance, regarding the SSI Tier 1 review, to mutual funds representatives within the distribution channels of Scotia Securities Inc.
  • Recommend and monitor action plans to correct incidents of noncompliance (and prevent their reoccurrence) and weaknesses in policies, practices, procedures, systems and/or training

Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if you have:

  • Bilingual (French/English) is required
  • Undergraduate University Degree, preferably in business or accounting and/or related work experience
  • Completion of the CIRO Branch Compliance Officer (BCO) course is required
  • 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 through the Bank's branches
  • The ability to evaluate risk, identify control weaknesses and recommend actions, to followup 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
  • The ability to resolve issues and problems and to recognize the need to escalate to leadership
Location(s): Canada : Quebec : Montreal

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.

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