Iia Branch Supervision and Service Manager

5 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 196725

As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets.

When you join ScotiaMcLeod, you’ll be empowered to deliver Enriched Thinking®, a unique approach that incorporates your client’s thinking, as well as our thinking, to drive results. You’ll work with a team of specialists to deliver a client-centric approach to wealth management, enabling you to consider all the facets of your client’s life, family and business. With a focus on total wealth planning, and wealth specialists to help you deliver on this unique value proposition, you’ll be enabling clients to see not just the big picture, but all the little ones too.

**BRIEF INTRODUCTION**:
The International Investment Advisory (IIA) Branch Supervision and Service Manager’s primary objective is to comply with CIRO supervision rules and regulations as well as supporting the Management Team in achieving overall branch growth and profitability. The role is also responsible for guidance and support to the Advisory Teams as it relates to sales supervision as well as general service and branch operations.

**WHAT YOU’LL BE DOING**:
In this role you will:

- Perform Tier 1 Supervision of advisors for IIA and its sub-branches in accordance with industry regulations and firm policies and procedures
- Responsible for the maintenance of the required Internal Control branch files.
- Provide training and coaching to staff as required for the firm’s implementations and processes.
- Ensure branch readiness for upcoming audits.
- Review and approve all new accounts in accordance with CIRO and SCI policies and procedures
- Work with advisory teams in the implementation of new rules and regulations.
- Familiarization and understanding of the Country Rules.
- Escalation point for the advisory teams for account and documentation issues.
- Approval for cancel and amend requests, cheque requests and third party deposits.
- Stay informed of industry trends and issues.
- Ensure compliance policies and procedures are followed and put into practice
- Proactively identify and implement any process and procedural improvements.

**DO YOU HAVE THE SKILLS**:
We would love to work with you if you have:

- Minimum 5 to 10 years experience in the financial services industry, with some branch and sales management experience and accomplishments.
- Strong understanding of, and experience in, general management concepts, i.e. finance, human resources, marketing, sales, compliance, operations
- Proficient in MS Office (outlook, word, access, excel).
- Commitment to on-going industry education and CE requirements to remain registered
- Proficiency in written and oral Spanish OR Portuguese is mandatory.
- Related university degree or experience
- Canadian Securities Course (CSC)
- Branch Managers Course, Effective Management Seminar
- Conduct and Practices Handbook (CPH)
- Must be able to be licensed in a Supervisory capacity of Registered Representatives

**WHAT'S IN IT FOR YOU**:

- At ScotiaMcLeod we help employees build their futures - where they can be themselves, and win together. With a commitment to diversity and inclusion and a performance-oriented culture that includes coaching, learning, and development - there are endless possibilities. At ScotiaMcLeod
- you can make an impact. You help make the futures of our 25 million customers happen. You can find your future here.
- The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
- An organization committed to making a difference in our communities
- for you and our clients.
- An inclusive working environment that encourages creativity, curiosity and celebrates success.
- Learning and Development - free access to Scotia Academy to upskill and develop your skills

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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