Senior Branch Supervision Specialist

3 days ago

Ottawa, Ontario, Canada MD Financial Management Full time

Senior Branch Supervision Specialist: Contribute to the success of the Branch Supervision Team in Regulatory Affairs, ensuring compliance with regulations and internal policies.

Join a purpose-driven team committed to results in an inclusive and high-performing culture. As a Senior Branch Supervision Specialist, you will be responsible for contributing to the overall success of the Branch Supervision Team within Regulatory Affairs in Canada.

  • Champion a customer-focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.
  • Act as a designate for the assigned supervisor in the Regions, including completion of daily and monthly account supervision, reviewing, and approving New Account Application Forms, and Know Your Client updates.
  • Complete daily reviews using the Risk Compliance Intelligence platform to provide accurate and detailed surveillance and analysis of all transactions, orders, account activity, and holdings.
  • Proactively identify potential and actual compliance issues and concerns and escalate to management accordingly.
  • Resolve and respond to compliance queries from the various business units and clients and participate in business working groups.
  • Partner with the Branch Supervision Team Lead to identify compliant and practical solutions to business issues.
  • Participate in the training and education of staff as it relates to regulatory requirements, internal policies, and procedures.
  • Assist with the update and maintenance of policies and procedures to appropriately address identified risks, providing ongoing monitoring of the effectiveness of these policies and procedures.
  • Understand how the Bank's risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursue effective and efficient operations of their respective areas in accordance with Scotiabank's Values, its Code of Conduct, and the Global Sales Principles.
  • Champion a high-performance environment and contribute to an inclusive work environment.

The ideal candidate will have:

  • Canadian Securities Course and Conduct and Practices Course.
  • Relevant experience in the financial services industry.
  • Working knowledge and understanding of security industry regulations.
  • Proven analytical abilities.
  • Bilingual English/French.

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.

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.

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