Ssi Supervision Specialist

6 months ago

Toronto, Canada Scotiabank Full time

Requisition ID: 181855

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

**Purpose**

Contributes to the overall success of the Centralized Compliance Department, Scotia Securities Inc. in Canada ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

**Accountabilities**
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

Monitoring:

- Monitor customer mutual fund trade activities utilizing exceptions reports, with a focus on unusual/irregular activity and 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.
- 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)
- Weaknesses in policies, practices, procedures, systems and/or training.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
- Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.

**Education/Experience**

The Remote Compliance Officer should possess the following:

- Must be licensed to sell mutual funds in Canada
- Must have an Undergraduate University Degree (preferably in business or accounting) &/or related work experience
- Must satisfy all Compliance expectations for the role, including completion of the Branch Compliance Officer (BCO) course
- 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, to identify control weaknesses, to recommend actions, to follow-up and to 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 are required.
- Strong organization and time management 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.

  • 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...

  • Supervising Chef

    3 weeks ago

    Toronto, Canada Laylak Lebanese Cuisine Inc Full time

    Education: No degree, certificate or diploma - Experience: 3 years to less than 5 years - **Work site environment**: - Cold/refrigerated - ** Work setting**: - Formal dining room - Restaurant - ** Tasks**: - Supervise activities of specialist chefs, chefs, cooks and other kitchen workers - Prepare and cook complete meals and specialty foods for events...

  • Supervising Chef

    2 months ago

    Toronto, Canada Laylak Lebanese Cuisine Inc Full time

    Education: - Expérience: **Education**: - No degree, certificate or diploma **Work site environment**: - Cold/refrigerated **Work setting**: - Formal dining room - Restaurant **Tasks**: - Supervise activities of specialist chefs, chefs, cooks and other kitchen workers - Prepare and cook complete meals and specialty foods for events such as banquets -...

  • Data Transformation Specialist

    2 weeks ago

    Toronto, Ontario, Canada Purple Drive Full time

    Purple Drive is a dynamic and innovative organization that seeks an experienced Data Transformation Specialist to join our team in Toronto.As a key member of our data analytics department, this individual will play a crucial role in transforming data from various sources into actionable insights for the collections domain in banking. The ideal candidate will...

  • supervising chef

    2 months ago

    Toronto, Canada Laylak Lebanese Cuisine Inc Full time

    Education: Expérience: EducationNo degree, certificate or diplomaWork site environmentCold/refrigeratedWork settingFormal dining roomRestaurantTasksSupervise activities of specialist chefs, chefs, cooks and other kitchen workersPrepare and cook complete meals and specialty foods for events such as banquetsSupervise cooks and other kitchen staffPrepare and...

  • supervising chef

    2 months ago

    Toronto, Canada Laylak Lebanese Cuisine Inc Full time

    Education: No degree, certificate or diplomaExperience: 3 years to less than 5 yearsWork site environmentCold/refrigeratedWork settingFormal dining roomRestaurantTasksSupervise activities of specialist chefs, chefs, cooks and other kitchen workersPrepare and cook complete meals and specialty foods for events such as banquetsSupervise cooks and other kitchen...

  • BI Specialist/etl Specialist

    6 months ago

    Toronto, Canada Arthur Grand Technologies Inc Full time

    Arthur Grand Technologies is currently seeking a highly motivated and skilled **Business Intelligence Specialist - Senior **for one of our clients. **Position: Business Intelligence Specialist - Senior** **Location: 315 Front St. West, Toronto, Ontario (Hybrid)** **Hybrid - 3 days on site and 2 days remote** **Duration: Long Term Contract** **MUST...

  • Construction Design and Supervision Specialist

    2 weeks ago

    Toronto, Ontario, Canada Xcel Construction Limited Full time

    About Xcel Construction LimitedXcel Construction Limited is a dynamic construction company seeking a skilled Construction Design and Supervision Specialist to join our team.

  • Supervising Chef

    6 months ago

    Toronto, Canada Pizzeria via Mercanti Full time

    Education: No degree, certificate or diploma - Experience: 5 years or more **Work setting**: - Restaurant - Urban area **Tasks**: - Instruct cooks in preparation, cooking, garnishing and presentation of food - Prepare and cook complete meals and specialty foods for events such as banquets - Supervise cooks and other kitchen staff - Prepare and cook food on...

  • Supervising Chef

    5 months ago

    Toronto, Canada FLAME FOOD+DESIGN CORP. Full time

    Education: College, CEGEP or other non-university certificate or diploma from a program of 1 year to 2 years - Experience: Experience an asset **Tasks**: - Maintain records of food costs, consumption, sales and inventory - Analyze operating costs and other data - Supervise activities of specialist chefs, chefs, cooks and other kitchen workers - Supervise...

  • Business Intelligence ETL Specialist

    4 weeks ago

    Toronto, Ontario, Canada Foilcon Full time

    Job DescriptionFoIicone is seeking an experienced Business Intelligence ETL Specialist to join our team.Key Responsibilities:Design and Develop ETL Framework: Design and implement an ETL framework from Oracle source to Azure Data Lake for initial load and incremental ETL.Tools and Technologies: Utilize Oracle Golden Gate for data ingestion and change data...

  • Data Supervision Specialist

    3 weeks ago

    Toronto, Ontario, Canada Talent Employment Inc Full time

    About the Role:Talent Employment Inc is seeking an exceptional Data Supervision Specialist to join our team. In this key role, you will be responsible for training workers in duties and policies, preparing and submitting reports, and ensuring the smooth operation of equipment.Responsibilities:Train workers in duties and policiesPrepare and submit...

  • Supervising Packaging Operations Specialist

    2 weeks ago

    Toronto, Ontario, Canada Kingsmill Foods Company Limited Full time

    We are seeking an experienced Supervising Packaging Operations Specialist to join our team at Kingsmill Foods Company Limited.About the RoleThis permanent position offers a competitive salary of $65,000 - $80,000 per year, depending on experience and qualifications. The successful candidate will be responsible for supervising a team of 16-20 people, ensuring...

  • Business Intelligence Specialist

    6 months ago

    Toronto, Canada AlphaForce Technology Solutions Full time

    **Position: Business Intelligence Specialist - Senior** **Location: 315 Front Street, Toronto, ON** **Security Level: CRJMC** **Must haves**: - 7+ years in ETL tools such as Microsoft SSIS, stored procedures (Must Have) - 2+ Azure Data Lake and Data Warehouse, and building Azure Data Factory pipelines (Must Have) - 2+ years Python (Must...

  • PowerBI Specialist

    5 months ago

    Toronto, Canada BSL consulting LLC Full time

    **Job Role: PowerBI Specialist** **Location: Toronto, ON (2 days Onsite/Week)** **Job Type: Full Time(Permanent)** **Qualification**: - Experience in data preparation, data warehousing, scripting using SQL - Experience in optimizing dashboards performance, data processing - Experience in Microsoft BI stack with Power BI, SSIS - Experience in working with...

  • Compliance and Supervision Specialist

    2 weeks ago

    Toronto, Ontario, Canada Wellington-Altus Full time

    About the Role:The Compliance and Supervision Analyst will support the Tier 1 Supervision Managers with the Supervision program. This role will provide holistic compliance supervision support, including reviewing daily trading activities, reviewing marketing materials, and ongoing monitoring research.Key Responsibilities:Conduct Tier 1 supervision...

  • Supervising Portfolio Manager

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Department Overview**: Supervision, Support and Governance (SS&G) is responsible for managing the overall risk and governance for BMO Private Wealth. The Managed Portfolio Account (MPA) Supervision team, which is part of the broader SS&G team, provides regulatory oversight for BMO Nesbitt Burns Managed...

  • Senior Data Integration Specialist

    3 weeks ago

    Toronto, Canada TEEMA Full time

    Job Title: ETL DeveloperAbout the Role:We are seeking a highly skilled ETL Developer to join our team at TEEMA. As an ETL Developer, you will be responsible for designing, implementing, and maintaining complex data pipelines using Microsoft SSIS, stored procedures, and T-SQL.Key Responsibilities:Develop and maintain ETL processes using Microsoft SSIS and...

  • Delivery Specialist

    5 months ago

    Toronto, Canada The Humberview Group Full time

    Audi Midtown Toronto is looking for a **Delivery Specialist** to join their team in Toronto. - Purchasing a vehicle is an exciting time!_ Our **Delivery Specialists **are responsible for assisting in coordinating the dates and times of all new and pre-owned vehicle deliveries. They will also be responsible for following up with customers post-delivery to...

  • Data Integration Specialist

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    Company Overview:Scotiabank is a leading bank in the Americas, guided by its purpose: "for every future." The company helps customers achieve success through various advice, products, and services.About the Role:We are seeking an experienced Data Integration Specialist to join our Global Compliance Technology team. As a key member of our team, you will be...