Manager

3 weeks ago


Calgary, Canada Scotiabank Full time

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 delivered in compliance with governing regulations and internal policies and procedures.

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

Lead and drive a client focused culture throughout the team to deepen client relationships and leverage broader Bank relationships, systems, and knowledge Supervise the day-to-day operations of the SSI Tier 1 reviews Assist the Supervision team with Tier 1 reviews when volumes exceed capacity Follow up on deficiencies identified in Tier 1 review and escalate when corrective action is past acceptable time frames Identify compliance trends to further improve Retail Branch programs Deliver training sessions where required to promote awareness of correct Tier I process Act as subject matter expert working in collaboration with Retail partners, such as Senior Manager, Mutual Funds Supervision Liaise with multiple business units (SSI Compliance, Wealth Management Registrations, Customer Complaints)

Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:

1-3 years’ people leadership experience Branch Compliance Officer (BCO) course is required Undergraduate University Degree, preferably in business or administration, &/or related work experience 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 Working knowledge of Microsoft applications including Word, Excel, and Power Point and familiarity with the Internet, Knowledge of Power BI an asset Flexibility to work overtime is required/expected during peak investment season (usually December – February) The ability to evaluate risk and identify control weaknesses to recommend actions, and to follow-up and report on noncompliance 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 An ability to make judgement calls and decisions independently  Critical thinking skills An ability to be resourceful

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