Ssi Supervision Specialist

6 months ago

Halifax, Canada Scotiabank Full time

Requisition ID: 187932

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 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 : Nova Scotia : Halifax

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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