Manager, Ssi Supervision

 
 
Requisition ID: #
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
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:
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-Leads 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)
 
The Must Haves:
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-1-3 years’ people leadership experience 
-Licensed to sell mutual funds in Canada is required
-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)
 
Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:
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-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
 
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.  
At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.