Manager, Branch Oversight and Client Services

Purpose

Contributes to the overall success of Scotiatrust / Canadian Wealth ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives.  Ensures all activities conducted are client focused and in compliance with governing regulations, internal policies and procedures.

• Champions a client focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.

• Is a member of the Scotiatrust National Office team, supporting the Oversight team’s goals and activities.

• Responsible for the execution of all reporting and oversight as it relates to operational risk, account management and policy adherence.

• Creates system queries and reports necessary to facilitate the oversight of Scotiatrust branches located in their region.  Participate in on-site review of branch administration to ensure compliance with policies and procedures.

• As a key member of Scotiatrust’s 1st line of defence, the role uses a risk-based approach, performing monitoring and testing to provide reasonable assurance that the business is in compliance and controls are designed and operating effectively.  Monitors key risk controls in fiduciary and agency accounts (such as overdraft reporting, new business acceptance, and stale-dated cheques) and reports and works with management to correct issues of non-compliance or control deficiencies.  Assists in identifying opportunities for designing, modifying and implementing improved processes within an effective operations structure which will be based on the service requirements of the trust branches. 

• Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions. Limit corporate risk exposure by ensuring that account administration is carried out in compliance with defined policies and procedures and audit standards, including escalation of issues to National Office. A member of the leadership team, the incumbent is a sitting member of the National Office Discretionary Powers Council. 

• Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.

• Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team.

• Supports team development through coaching focused on risk, regulations and having audit ready branches.