SSI Supervision Specialist

Found in: Talent CA C2 - 2 weeks ago

Calgary, Canada Scotiabank Full time

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.

This is a 15 month term position.

Is this role right for you? In this role you will:

Conduct daily reviews as per SSI Branch Compliance Officer (BCO) policies to monitor compliance with KYC suitability, and other rules respecting sales practices, by reviewing applications and order forms for suitability and completeness, reviewing other supporting documentation, identification and trades processed for conformity with client investment objectives 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:

Undergraduate University Degree, preferably in business or accounting and/or related work experience Completion of the CIRO Branch Compliance Officer (BCO) course is required Working knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the Internet 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 The ability to deal with time sensitive requests, competing priorities and fluctuating call and email volumes, as workloads are subject to time pressures due to trading environment sensitivities and changes in priorities

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