Supervising Portfolio Manager

3 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 206771

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

**Purpose of Job**:
This position is a trusted advisor of private wealth services and acts as registrant supervising Associate Advising Representatives (AAR) nationally within Private Investment Counsel.

Works closely with PIC Associate Advising Representative (AAR registrants) to manage relationships. Fulfill role as the investment expert in relationship, and supervising the assessment of clients’ investment needs, the setting of appropriate investment objectives and ensuring accurate implementation and monitoring and approving advice provided by the Associate Advising Representative.

**Major Accountabilities**:
**Portfolio Management**:

- Supervising the know your client (KYC) process and Investment Profile Questionnaire (IPQ) to develop an in-depth understanding of client’s needs and determining the appropriate asset allocation model based on needs, risk tolerance and objectives
- Supervising and approving AAR recommendations of appropriate investment asset mix aligned with life goals, income needs, return expectations and risk tolerance that fulfills client objectives
- Training and onboarding of new AARs
- Regularly monitoring the annual review process, client investment portfolios to ensuring suitability
- Supervising the development and execution of strategies and collaborate with the AAR to address unique situations including but not limited to:

- Transition of new accounts to central models
- Accounts with client directed holds or illiquid positions
- Unique IPS or Investment Objectives
- Non-discretionary accounts
- Staying abreast of changes to the central models and connecting with the AAR to discuss effects to client’s portfolio and stated objectives

**Client Relationship Management**
- Working collaboratively with the AAR to satisfy client needs
- Supervise and approve advise prior to advice given in conversations with clients
- Ensure that the AAR is consistently delivering the desired client experience during all client interactions within the regulatory framework
- Within the regulatory framework, support the AAR in business development, growth and consolidation efforts with clients and prospects
- Using strong knowledge of Scotia Wealth Management’s diverse products and services, to ensure the client’s needs are fulfilled, while providing oversight of the AAR within the regulatory environment (KYC/KYP/Suitability)

**Contribute to the effective collaboration of key Scotia Wealth Management Stakeholders**:

- Building effective working relationships across teams and with various business lines
- Maintaining a high level of customer service
- Facilitating a culture of open and honest communication
- Actively participating and contributing to touch bases and team meetings
- Encouraging the generation of new ideas and approaches
- Actively share knowledge and experience to enhance the development of all team members
- Developing and executing a meaningful employee development plan

**Risk Management/Compliance**
- Maintaining awareness and ensuring compliance/adherence to all procedures, regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, FCAC, Know your Client, Occupational Health & Safety and Guidelines for Business Conduct
- Minimizing the Bank’s overall exposure to risk
- Supervising the maintenance of client portfolios in accordance with established firm strategies which include, utilizing the Central Portfolio Models and pools
- Supervising the suitability of wealth and investment recommendations and alignment with clients’ financial goals, objectives and risk levels
- Adhering to bank and firm standards, policies and business practices to ensure that Private Client Counsel is meeting the appropriate regulatory and compliance requirements as they relate to both new and existing accounts
- Escalating, documenting and reporting any unusual occurrences, suspicious or fraudulent activities, as per established procedures

**Education/Work Experience/Designations**
- University Degree (Business, Economics, Accounting, Finance)
- CFA Designation Required, CAIA Designation is nice to have
- Currently registered as an Advising Representative (AR) or must meet the regulatory requirements to be registered with the appropriate securities commissions
- Minimum 5 years direct experience in discretionary investment management, covering both financial analysis and managing portfolios (individuals, estates, trusts, pension plans, foundations, registered accounts), with an expert understanding of investment returns, potential risks and the associated tax implications
- Thorough investment management know-how and depth of experience, as it relates to understanding economic and capital markets data in order to describe the firm’s investment strategy to partners and clients
- Strong relationship management ski

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