Description

 

 

 

 

Requisition ID: 214538

 

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

As a Branch Supervision Specialist, you will contribute to the overall success of the Branch Supervision Team within Regulatory Affairs 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.

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

 

  • Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
  • Act as a designate for the assigned supervisor in the Regions, including completion of daily and monthly account supervision (CIRO Tier 1 Supervision), reviewing, and approving New Account Application Forms (NAAF), and Know Your Client (KYC) updates for MD Management, MD Private Trust and the Private Investment Council.
  • Complete daily reviews using the Risk Compliance Intelligence (RCI) platform designed to provide accurate and detailed surveillance and analysis of all transactions, orders, account activity and holdings.
  • Proactively identify potential and actual compliance issues and concerns and escalate to management accordingly.
  • Resolve and respond to compliance queries from the various business units and clients and participate in business working groups.
  • Partner with the Senior Branch Supervision Officer to identify compliant and practical solutions to business issues. 
  • Participate in the training and education of staff as it relates to regulatory requirements, internal policies, and procedures.
  • Assist with the update and maintenance of policies and procedures to appropriately address identified risks, providing ongoing monitoring of the effectiveness of these policies and procedures.
  • Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
  • Actively pursue effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk. 

 

The Must Haves:

 

  • Canadian Securities Course, the Conduct and Practices Course. 
  • Relevant experience in the financial services industry.
  • Working knowledge and understanding of security industry regulations including, but not limited to the Ontario Securities Act, CIRO rules, and relevant National Instruments.
  • Proven analytical abilities. 
  • Bilingualism an asset (English/French)
     

 

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

 

  • The ability to deliver – using your interpersonal, problem-solving, influencing and communication skills to interpret complex business needs present solutions.
  • You embrace change – thriving in a diverse environment of ever-changing priorities where ambiguity, multi-tasking and tight deadlines are the norm. 
  • You make getting things done a priority – what’s urgent for the client is also urgent for you.
  • A desire to learn –not only to further your knowledge of MD business objectives, but also staying informed regarding industry trends and issues that may impact MD clients.
  • The ability to work independently and as part of a broader team, always seeking out new ways to collaborate and contribute.
  • Confidence – in yourself, in your team and in the services you provide.

Location(s):  Canada : Ontario : Ottawa

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 apply directly 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.