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Governance and Operations Manager, Private Investment Counsel
3 months ago
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Title: Governance and Operations Manager, Private Investment Counsel (PIC) - Vancouver Requisition ID: 201126
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
Business Line: Scotia Wealth Management
Purpose of the Job:
The Governance & Operations Manager is responsible for contributing to Private Investment Counsel’s overall success by leading a team and initiatives to minimize regulatory, Tier 1 and reputational risk to the firm. The incumbent will conduct ongoing supervisory activities to a high standard, identifying potential issues and concerns and ensuring appropriate corrective actions are implemented in a timely manner. The Governance & Operations Manager works closely with the Senior Manager, National Field Operations and in market Relationship Managers in order to implement risk and compliance mitigation strategies and programs, regulatory monitoring and to fulfil sales supervisory functions for the assigned Market.
This role will manage a team of assigned Portfolio Administrator’s in the delivery of superior service and operational support to PIC Relationship Managers and their clients. The Governance & Operations Manager is responsible for managing workflows and operational project and initiative rollouts, training, coaching and supporting the professional development of their team members. This includes in-market oversight and leadership to drive operational efficiency through development and implementation of best practices leading to sustainable operational excellence.
Reporting Relationships:
Reports to: Senior Manager, National Field Operations, PIC
Major Accountabilities:
Executes on effective management of tier one compliance and regulatory oversight for the assigned market:
- Working closely with the assigned market team to uphold regulatory oversight and risk management standards resulting in enhanced client experience through effective and accurate account opening and asset transfer activities and processes.
- Working with Compliance partners to implement regulatory and fiduciary guidelines into in market best practices.
- Monitoring adherence to regulatory and internal Bank requirements; ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed across the assigned market area.
- Sharing knowledge to the audit function and researching of identified issues to result in favourable audit results.
- Ensures business level processes and procedures are properly executed, documented, and reviewed for audit purposes as required.
- Supports the audit function both in the preparation stage and issue resolution of findings.
- Conducting quarterly file reviews for assigned markets and associated relationship managers.
- Providing in market support to Senior Manager, National Field Operations to communicate and implement any changes in policies and practices for assigned market.
- Supporting Senior Manager, National Field Operations to identify, research, document and report upon compliance concerns, unusual occurrences, suspicious or fraudulent activities, as per established procedures.
Leads the delivery of client service and administration to the assigned RMS by:
- Ensuring the PA Team provides a high degree of service and administrative support combined with innovative approaches to resolving client and Relationship Manager servicing issues while maintaining an overall low risk profile.
- Demonstrating the expected service standards during client interactions.
- Understanding the PIC value proposition for consistent delivery of the desired client experience during all client interactions and coaching the Admin Team to adhere to the same standards.
- Reviewing processes and providing recommendations to improve the client experience and enhance efficiencies.
- Escalating and resolving any processing concerns or delays with service partners (Custody, IMS Ops).
- Providing oversight for the market in the execution of client transactions and documentation through detailed and accurate management of portfolio administration tasks and activities.
- Governing the end-to-end client onboarding processes with respect to operational and administrative processes.
- Taking full responsibility for all Client inquiries/concerns/complaints Lead to resolve those matters within their discretion to the client’s satisfaction and to documenting the concern to the Compliance as required.
- Ensuring the client service staffing levels/work schedules meet client service and administrative demands, adjusting as required.
- Collaborating with other PIC Governance & Operations Managers across the country to share and enhance business and best practices.
- Executing on National/Executive office operations initiatives
- Working closely with Senior Manager, National Field Operations to provide team updates, service level reporting, develop team goals and objectives.
Lead and develop the Administration team by:
- Leading and developing a team of Portfolio Administrators by providing coaching, direction and guidance.
- Creating an individualized training program for all new hires to ensure their ability to complete job functions.
- Planning and leading one-on-one coaching sessions and skill-building sessions.
- Monitoring and achieving key performance metrics for self and team (referrals, expenses, revenue).
- Recognizing and rewarding successes and managing non-performance.
- Developing and obtaining agreement on individualized Personal Development Plans for all direct reports.
- Identifying and supporting training and developmental needs of team members.
- Monitoring performance concerns of direct reports and establishing a performance management schedule to address and improve poor performance.
- Managing the vacation schedule for the Portfolio Administration Team to ensure service levels are met.
- Developing a strong culture and positive team environment.
- Championing the adoption and implementation of new tools, technology and processes.
- Resolving issues and negotiating compromises between team members.
- Recruiting, hiring and promoting team members.
- Completing semi-annual and annual performance appraisals.
- Establishing performance objectives annually for direct reports then monitor to ensure objectives are met.
Support Business Development within Private Investment Counsel by:
- Identifying and referring new business opportunities through ongoing client contact.
- Developing processes and practices for PA/RM engagement focused on business development strategies, for leveraging across the PIC office where possible.
- Coaching the Administration Team to identify and refer new sales or referral opportunities through ongoing client contact or annual review meeting preparation.
- Ensuring direct reports have a strong knowledge of all ScotiaWealth offerings.
- Supporting the execution of marketing strategies to attract and retain valuable clients.
- Coordinating the preparation of material for business development activities.
- Working with Market Leaders to enhance the quality of business development activities, prospects, portfolio growth through regular and ongoing support to Relationship Managers of sales strategy execution, client service and Centre-led client events.
- Developing a clear understanding of the departments financial and non-financial goals.
- Establishing and monitoring referral goals for direct reports.
Support compliance, regulatory and operational risk by:
- Minimizing the Bank’s exposure to risk by complying with and ensuring team members’ compliance with all procedures, regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, FCAC, Know Your Client, Occupational Health and Safety and Guidelines for Business Conduct.
- Supporting and reinforcing any changes in policies and practices to Relationship Managers.
- Coaching direct reports on effectively understanding and implementing compliance regulations.
- Working with Relationship Managers to strategize towards inclusion of regulatory and compliance best practices.
- Proactively identifying potential and actual compliance issues and concerns and escalating to proper authority.
- Liaising with the compliance department to ensure inquiries are resolved in a timely manner and identifying patterns and on-going issues and escalating as required.
- Ensuring client complaints, claims, legal actions and regulatory reviews, examinations and investigations are handled effectively, and corrective actions are implemented in a timely manner.
- Escalating, documenting and reporting any unusual occurrences, suspicious or fraudulent activities as per established procedures and guidelines.
- Supporting the Relationship Managers in maintaining client portfolios in accordance with established firm strategy which includes utilizing the central portfolio models and pools, focusing on client segmentation and risk assessment.
- Co-coordinating and completing any reporting requirements accurately and submitting to the appropriate authority in a timely manner.
Education & Work Experience:
• University Degree (Business, Economics, Accounting, Finance);
• Asset: CSC & CIM, or its predecessor CIF, CFA;
• Previous experience with Tier 1 compliance/regulation.
• Thorough investment management know-how and depth of experience required as it relates to understanding economic and market data;
• Solid understanding of Canadian Wealth Management objectives, strategies and structures & PIC Business Line’s value proposition;
• Strong compliance knowledge and experience in Private Wealth and Investment Management;
• Ability to cultivate and maintain strong relationships;
• Highly effective verbal and written communication skills to be able to effectively articulate views both within the Bank and externally;
• Extensive knowledge of all applicable regulatory rules, guidelines, policies and requirements;
• Strong interpersonal & listening and people management skills.
Dimensions:
• Significant degree of decision-making in dealing with operational questions and issues. However, when potential exposure is significant, will seek input and guidance from the Regional Operations Manager, Regional Director, Market Leads, National Operations team, Legal, Compliance, Finance, Human Resource etc.;
• The incumbent negotiates priorities with the Regional Operations Manager but is expected to independently manage his/her own time as well as his/her teams, activities, efforts etc. in relation to meeting goals. Thorough knowledge of Private Investment Counsel’s regulatory and risk standards, investment products and services, operational processes and enhances the fiduciary functions as relates to documentation, reporting and compliance.
• Total Number of Direct/Indirect Reports: 6 to 8.
Working Conditions:
• The incumbent works in a standard office environment, but there is a risk of exposure to hold-ups, extortion, etc.
• The position is primarily non-physical;
• Frequent contact with high profile clients and advisors;
• Extended/non-standard hours are required.
Location(s): Canada : British Columbia : Vancouver
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.
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here . Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.
