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Senior Account Supervision Officer

3 months ago

Canada, CA Scotiabank Full time

Requisition ID: #

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

Purpose

Contributes to the overall success of the Scotia iTRADE Account Supervision team in Canada, ensuring specific individual goals, plans, initiatives are executed/delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities
  1. Champions a high performance environment and contributes to an inclusive work environment.
  2. Maintain thorough knowledge and understanding of compliance, regulatory and credit rules and regulations as it applies to the industry and the firm.
  3. Conduct near real-time and post-trade market related reviews to address alerts; identify and investigate any potential exchange/marketplace and regulatory rule violations.
  4. Identify potential and actual compliance issues and concerns, conduct the necessary follow up inquiries and reviews, ensuring that appropriate corrective actions are implemented in a timely manner.
  5. Prepare materials in response to regulatory or internal audit inquiries.
  6. Provide back-up support within the team and other projects as assigned.
  7. Identifying gaps in existing supervision program and participate in developing, maintaining and implementing changes to the firm’s policies and procedures.
  8. Assist with designated supervisor tasks, such as registration, continuing education, staff attestation as assigned.
  9. Provide specified approvals or assess requests for approval and make a recommendation to Senior Manager.
  10. Demonstrate and apply full understanding of the implications of dealing with regulatory issues, while ensuring that the confidentiality of customer information is maintained at all times.
  11. Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  12. Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
Education/Experience/Other Information
  1. Successful completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Derivatives Fundamentals and Options Licensing Course (DFOL).
  2. Successful completion of the Branch Manager’s Course and Options Supervisor Course subsequent to job posting, if not already obtained.
  3. Thorough knowledge of industry, compliance and trading policies.
  4. Prior investment industry and brokerage industry experience.
  5. Thorough knowledge of PC systems including: Broadridge, SCORE, AS400, Thompson ONE, Microsoft Excel and other supporting applications.
  6. Strong analytical skills as well as a high degree of judgment and organizational skills and initiative to deal with diverse and complex inquiries, problems relating to Scotia iTrade products and services.
  7. Results-oriented with the ability to work in a fast paced environment where volumes are dictated by market trends, customer demands, seasonal peaks and advertising campaigns.
  8. Ability to work independently within the boundaries of existing policies and guidelines. Complex situations and issues not encompassed within the guidelines should be referred to management.
  9. The individual should be proactive in their monitoring and have initiative to change their tasks as necessary and to advise management of necessary changes and modifications as the job continues to evolve.
  10. The incumbent must exercise judgment in the prioritization of his/her workload to ensure optimum response times are met and adherence to established service standards is maintained.

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.

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 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.

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