Bilingual Ssi Supervision Specialist
5 months ago
Requisition ID: 197974
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
The SSI Supervision Specialist contributes to the overall success of the Scotia Securities Inc. (SSI) Business Controls & Supervision department, ensuring specific individual goals, plans and initiatives are executed/ delivered in support of the team’s business strategies and objectives. As a licensed Branch Compliance Officer (BCO), the SSI Supervision Specialist ensures all activities conducted, are in compliance with governing regulations, internal policies, and procedures.
**Is this role right for you? In this role you will**:
- Monitor client mutual fund trade activities utilizing exceptions reports, with a focus on unusual/irregular activity and conduct additional reviews such as excessive activity and other reports as required
- Follow-up on issues and ensure deficiencies are communicated effectively to the Registered Representatives/BCOs
- Assist in the control, evaluation, and response to any serious irregular activity, such as fraud, kiting, money laundering or serious incidence of non-compliance, as well as negative trends and any known or perceived weaknesses in policies, practices, procedures, systems, or training which could lead to non-compliance
- Provide support and guidance, regarding the SSI Tier 1 review, to mutual funds representatives within the distribution channels of Scotia Securities Inc.
- Recommend and monitor action plans to correct incidents of non-compliance (and prevent their reoccurrence) and weaknesses in policies, practices, procedures, systems and/or training
**Do you have the skills that will enable you to succeed in this role? - We’d love to work with you if you have**:
- Bilingual (French/English) is required
- Undergraduate University Degree, preferably in business or accounting and/or related work experience
- Completion of the CIRO Branch Compliance Officer (BCO) course is required
- 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 through the Bank’s branches
- The ability to evaluate risk, identify control weaknesses and recommend actions, to follow-up and report on non-compliance 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
- The ability to resolve issues and problems and to recognize the need to escalate to leadership
Location(s): Canada : Quebec : Montreal
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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