Senior Compliance Officer, Wealth Management Complaints and Investigations
3 weeks ago
Senior Compliance Officer, Wealth Management Complaints and InvestigationsJoin Scotiabank as a Senior Compliance Officer overseeing the Wealth Management Complaints and Investigations program across Canadian Wealth Management entities. Your role will involve handling client complaints, regulatory obligations, and external complaints bodies.ResponsibilitiesAssess, analyze, and investigate client complaints, including determining the nature of complaints and reporting to relevant SROs.Review advisor submissions, account documentation, and file notes; communicate with clients, advisors, and other internal departments for additional details.Conduct suitability assessments and perform profit/loss calculations to construct model portfolios.Prepare substantive responses to clients based on analysis and merits of complaints.Handle regulatory inquiries, prepare materials for regulatory inquiries, examinations, and investigations, and assist legal counsel as required.Collaborate with support units (e.g., Operations groups) and manage complaints inboxes and logs.Evaluate and recommend policy, procedure, and system changes to support ongoing compliance.Other duties and projects as assigned.QualificationsUniversity degree (minimum).Minimum 5 years of related experience at a large financial institution or regulatory agency.Experience in Wealth Management is an asset.Strong understanding of Canadian regulatory and industry trends, with the ability to translate requirements into policies, procedures, controls, systems, and training.Excellent judgment, strategic thinking, and attention to detail.Strong written and verbal communication skills and proven solution‑building ability.Ability to learn and adapt to rapidly changing regulatory and business environments.Independent work style and cross‑functional collaboration.Bilingual (English and French) is an asset.What’s In It for YouHigh‑performance environment with an inclusive work culture.Competitive compensation and comprehensive benefits plan.Opportunities for meaningful development and faster advancement.Recognition for high performance and support from leadership.Commitment to making a difference in our communities.LocationToronto, Ontario, CanadaEEO StatementScotiabank is an equal opportunity employer. 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 during the recruitment process, please let our Recruitment team know. #J-18808-Ljbffr
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Toronto, Canada Scotiabank Full timeSenior Compliance Officer, Wealth Management Complaints and Investigations Join Scotiabank as a Senior Compliance Officer overseeing the Wealth Management Complaints and Investigations program across Canadian Wealth Management entities. Your role will involve handling client complaints, regulatory obligations, and external complaints bodies. Responsibilities...
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Toronto, Canada Scotiabank Full timeSenior Compliance Officer, Wealth Management Complaints and InvestigationsJoin Scotiabank as a Senior Compliance Officer overseeing the Wealth Management Complaints and Investigations program across Canadian Wealth Management entities. Your role will involve handling client complaints, regulatory obligations, and external complaints...
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Toronto, Canada Scotiabank Full timeSenior Compliance Officer, Wealth Management Complaints and Investigations We are committed to investing in our employees and helping you continue your career at Scotiabank. Join a purpose driven winning team, committed to results, in an inclusive and high performing culture. Is This Role Right for You? In this role, you will support the Wealth Management...
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Toronto, Canada Scotiabank Full timeSenior Compliance Officer, Wealth Management Complaints and Investigations We are committed to investing in our employees and helping you continue your career at Scotiabank. Join a purpose driven winning team, committed to results, in an inclusive and high performing culture. Is This Role Right for You? In this role, you will support the Wealth Management...
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Toronto, Canada Scotiabank Full timeSenior Compliance Officer, Wealth Management Complaints and Investigations We are committed to investing in our employees and helping you continue your career at Scotiabank. Join a purpose driven winning team, committed to results, in an inclusive and high performing culture. Is This Role Right for You? In this role, you will support the Wealth Management...
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Toronto, Canada Scotiabank Full timeTitle: Senior Compliance Officer, Wealth Management Complaints and Investigations Requisition ID: We are committed to investing in our employees and helping you continue your career at Scotiabank. Join a purpose driven winning team, committed to results, in an inclusive and highperforming culture. Is This Role Right for You? In this role, you will: Support...
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Compliance Officer, Complaints
1 week ago
Toronto, Canada CI Investments Inc Full timeCI Financial Corp. (TSX: CIX) is an independent Canadian company offering global asset management and wealth management advisory services. Its primary operating businesses are CI Investments Inc., Assante Wealth Management (Canada) Ltd., CI Private Counsel LP, Grant Samuel Funds Management Pty Ltd. of Australia, First Asset Investment Management Inc., and...
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Toronto, Canada Scotiabank Full timeA leading financial institution in Toronto is seeking a Senior Compliance Officer for Wealth Management Complaints and Investigations. This role involves investigating client complaints, managing regulatory inquiries, and recommending policy changes. The ideal candidate has at least 5 years of experience in a financial institution, with strong analytical and...
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Senior Wealth Management Compliance
3 weeks ago
Toronto, Canada Scotiabank Full timeA leading financial institution in Toronto seeks a Senior Compliance Officer for Wealth Management Complaints and Investigations. The successful candidate will manage client complaints, support regulatory inquiries, and enhance compliance policies. A university degree and at least 5 years in a financial setting are required. Bilingual skills are an asset....
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Senior Wealth Management Compliance
3 weeks ago
Toronto, Canada Scotiabank Full timeA leading financial institution in Toronto seeks a Senior Compliance Officer for Wealth Management Complaints and Investigations. The successful candidate will manage client complaints, support regulatory inquiries, and enhance compliance policies. A university degree and at least 5 years in a financial setting are required. Bilingual skills are an asset....
