Manager, Ssi Supervision

5 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 193532

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

As a Manager, Scotia Securities Inc. (SSI) Supervision, you will be responsible for leading and overseeing the execution of the SSI Tier I program in Canada, ensuring business strategies, plans and initiatives are executed and delivered in compliance with governing regulations and internal policies and procedures.

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

- Leads and drive a client focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
- Supervise the day-to-day operations of the SSI Tier 1 reviews
- Assist the Supervision team with Tier 1 reviews when volumes exceed capacity
- Follow up on deficiencies identified in Tier 1 review and escalate when corrective action is past acceptable time frames
- Identify compliance trends to further improve Retail Branch programs
- Deliver training sessions where required to promote awareness of correct Tier I process
- Liaise with multiple business units (SSI Compliance, Wealth Management Registrations, Customer Complaints)

**The Must Haves**:

- 1-3 years’ people leadership experience
- Licensed to sell mutual funds in Canada is required
- Branch Compliance Officer (BCO) course is required
- Undergraduate University Degree, preferably in business or administration, &/or related work experience
- 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
- Flexibility to work overtime is required/expected during peak investment season (usually December - February)

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

- The ability to evaluate risk and identify control weaknesses to recommend actions, and to follow-up and report on noncompliance effectively
- Initiative and the ability to work efficiently and effectively in a fast-paced, team environment
- Effective communication skills both verbal and written
- Strong organization and time management skills
- An ability to make judgement calls and decisions independently
- Critical thinking skills
- An ability to be resourceful

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.

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