Manager, GCEC & VA SSI Supervision

Requisition ID: 277664

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

Manager, GCEC & VA SSI Supervision 

Contributes to the overall success of the SSI Supervision initiative for Global Client Experience Centres and Virtual Advice in Canada ensuring business strategies, plans and initiatives are executed / delivered in compliance with governing regulations, internal policies and procedures.

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

• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
• Oversees the day-to-day execution of centralized SSI supervision activities for GCEC and Virtual Advice, ensuring supervision requirements are completed in accordance with established policies, procedures and service level expectations. This includes:
• • Overseeing the quality and accuracy of supervision activities and case submissions, providing feedback, coaching and support to promote timely, accurate and first-time-correct outcomes.
  • Supporting the execution of regulatory and compliance oversight activities, including KYC, T+1, complaints, registration activities, material changes, conflicts of interest, mandatory training requirements and other supervision responsibilities within the centralized model.
• Monitors and manages supervision reviews, deficiencies and exception reporting, ensuring issues are identified, tracked, documented and resolved within established timelines, with appropriate follow-up completed with business partners and management.
• Monitors supervision metrics, dashboards and operational reporting to identify trends, recurring issues and emerging risks, and escalates concerns or recommendations to management as appropriate.
• Provides guidance, coaching and support to SSI Supervision Officers and Branch Compliance Officers on supervision requirements, escalated cases, exceptions, deficiencies and other matters requiring interpretation, review or escalation.
• Supports audits, compliance reviews, regulatory examinations, testing activities and issue remediation efforts, including coordinating requests, gathering documentation, responding to inquiries, tracking action items and assisting with remediation activities.
• Identifies opportunities to improve supervision processes, controls, reporting and workflows, supporting the implementation of process improvements and operational changes that enhance effectiveness, efficiency and compliance outcomes.
• Understands how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Creates an environment in which their team pursues 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.
• Builds a high-performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment and using a coaching mindset and behaviours; communicating vison/values/business strategy; and, managing succession and development planning for the team.

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

• Licensed to sell mutual funds in Canada and registered as a Mutual Fund Representative with the applicable provincial securities regulators in all Canadian provinces and territories.
• Successful completion of Branch Compliance Officer course or recognized equivalent, as required for BCO registration.
• Minimum two years of experience in Mutual Fund sales registered under the applicable securities legislation or a minimum of two years of equivalent experience.
• Expert knowledge of Mutual Fund Products and thorough knowledge of SSI policies and procedures, CIRO requirements, applicable provincial securities requirements, and the appropriate policies, legislation and taxation regulations.
• Strong understanding of GCEC and Virtual Advice operations, risk management practices, business controls, compliance governance and change management.

Location(s):  Canada : Ontario : Toronto || Canada : Ontario : Scarborough 

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.