Governance and Operations Manager, Private

6 months ago

Vancouver, Canada Scotiabank Full time

Requisition ID: 201126

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

**Business Line**: Scotia Wealth Management

**Purpose of the Job**:
The Governance & Operations Manager is responsible for contributing to Private Investment Counsel’s overall success by leading a team and initiatives to minimize regulatory, Tier 1 and reputational risk to the firm. The incumbent will conduct ongoing supervisory activities to a high standard, identifying potential issues and concerns and ensuring appropriate corrective actions are implemented in a timely manner. The Governance & Operations Manager works closely with the Senior Manager, National Field Operations and in market Relationship Managers in order to implement risk and compliance mitigation strategies and programs, regulatory monitoring and to fulfil sales supervisory functions for the assigned Market.

This role will manage a team of assigned Portfolio Administrator’s in the delivery of superior service and operational support to PIC Relationship Managers and their clients. The Governance & Operations Manager is responsible for managing workflows and operational project and initiative rollouts, training, coaching and supporting the professional development of their team members. This includes in-market oversight and leadership to drive operational efficiency through development and implementation of best practices leading to sustainable operational excellence.

**Reporting Relationships**:
Reports to: Senior Manager, National Field Operations, PIC

Direct Reports: Portfolio Administration (6 to 8 direct reports)

**Major Accountabilities**:
**Executes on effective management of tier one compliance and regulatory oversight for the assigned market**:

- Working closely with the assigned market team to uphold regulatory oversight and risk management standards resulting in enhanced client experience through effective and accurate account opening and asset transfer activities and processes.
- Working with Compliance partners to implement regulatory and fiduciary guidelines into in market best practices.
- Monitoring adherence to regulatory and internal Bank requirements; ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed across the assigned market area.
- Sharing knowledge to the audit function and researching of identified issues to result in favourable audit results.
- Ensures business level processes and procedures are properly executed, documented, and reviewed for audit purposes as required.
- Supports the audit function both in the preparation stage and issue resolution of findings.
- Conducting quarterly file reviews for assigned markets and associated relationship managers.
- Providing in market support to Senior Manager, National Field Operations to communicate and implement any changes in policies and practices for assigned market.
- Supporting Senior Manager, National Field Operations to identify, research, document and report upon compliance concerns, unusual occurrences, suspicious or fraudulent activities, as per established procedures.

**Leads the delivery of client service and administration to the assigned RMS by**:

- Ensuring the PA Team provides a high degree of service and administrative support combined with innovative approaches to resolving client and Relationship Manager servicing issues while maintaining an overall low risk profile.
- Demonstrating the expected service standards during client interactions.
- Understanding the PIC value proposition for consistent delivery of the desired client experience during all client interactions and coaching the Admin Team to adhere to the same standards.
- Reviewing processes and providing recommendations to improve the client experience and enhance efficiencies.
- Escalating and resolving any processing concerns or delays with service partners (Custody, IMS Ops).
- Providing oversight for the market in the execution of client transactions and documentation through detailed and accurate management of portfolio administration tasks and activities.
- Governing the end-to-end client onboarding processes with respect to operational and administrative processes.
- Taking full responsibility for all Client inquiries/concerns/complaints Lead to resolve those matters within their discretion to the client’s satisfaction and to documenting the concern to the Compliance as required.
- Ensuring the client service staffing levels/work schedules meet client service and administrative demands, adjusting as required.
- Collaborating with other PIC Governance & Operations Managers across the country to share and enhance business and best practices.
- Executing on National/Executive office operations initiatives
- Working closely with Senior Manager, National Field Operations to provide team updates, service level reporting, develop team goals and objectives.

**Lead and develop the Administration tea

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