Branch Supervision Officer

3 weeks ago

Toronto, Canada Scotiabank Full time

Requisition ID: 177491

As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets.

When you join ScotiaMcLeod, you’ll be empowered to deliver Enriched Thinking®, a unique approach that incorporates your client’s thinking, as well as our thinking, to drive results. You’ll work with a team of specialists to deliver a client-centric approach to wealth management, enabling you to consider all the facets of your client’s life, family and business. With a focus on total wealth planning, and wealth specialists to help you deliver on this unique value proposition, you’ll be enabling clients to see not just the big picture, but all the little ones too.

**Purpose of Job**
The primary objective of this position is to keep the business safe by conducting ongoing supervisory activities for the National Supervision department. The Branch Supervision Officer works closely with the Branch Supervision Manager in order to fulfil sales supervisory functions.

**Key Job Accountabilities**
Ensure compliance with corporate policies and industry regulatory bodies by:
Assisting with Tier 1 supervision of advisors for assigned branches in accordance with industry regulations and firm policies and procedures
Conducting supervision review for potential issues such as UMIR, control rating change and client priority violations
Proactively identify potential and actual compliance issues and concerns, conduct the necessary followup inquiries and reviews, and ensure that appropriate corrective actions are implemented in a timely manner
Reviewing Pro Transaction Reports on a monthly basis
Staying informed regarding industry trends and issues
Ensuring compliance policies and procedures are followed and put into practice
Ensuring proper maintenance of evidence of supervisory reviews, approvals and activities such as inquiries made, replies received, actions taken, date of completion etc.
Ad hoc assignments as required

**Manage the quality and efficiency of branch operations by**:
Answering questions surrounding applicable Company products and services
Communicating new policies and procedures to the branch’s support staff and advisors to ensure all lines of business work together to help advisors grow
Facilitating effective communication between Advisors, other departments and Head Office
Using effective time management skills to prioritize completions of tasks and issues

**Skills, Experiences and Functional Competencies**
Minimum 3-5 years experience in the financial services industry, with some branch experience
Proficient in MS Office (outlook, word access, excel)
CSC and/or CPH courses would be an asset
French or Spanish would be an asset
Related university degree or experience

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.

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