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Title:  Branch Supervision Specialist

 

 

 

 

Requisition ID: 151295

 

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

Branch Supervision Specialist

 

 

Imagine an environment that encourages you to bring your best self to work every day.  A company committed to your personal development and career aspirations. An employer who not only respects your requirement for life/work flexibility, but also endorses it.  A place where diversity and inclusion and a commitment to employee health and wellbeing are part of the corporate DNA.   A job that is more than a job – allowing you to make a meaningful contribution to the welfare of some of the hardest working Canadians we know – physicians.  If not only what you do but who you do it for matters, consider this opportunity join our exceptional team of professionals committed to making a difference to those on the front lines of Canadian healthcare.

 

How You Will Contribute:

 

Reporting to the Branch Supervision Manager, as a Branch Supervision Specialist, you will be responsible for performing supervision and surveillance duties under the risk management framework for MD Management Limited (securities dealer) and MD Private Investment Counsel (portfolio manager).  You will help to manage regulatory and legal risk within the regional offices, which includes assisting the Regional Management network to meet their regulatory obligations.  The role also supports Regional Management in education, training, monitoring and reviewing of risk management and compliance issues, fostering a compliance and continuous improvement culture among regional staff.

  • You will act as designate for the assigned supervisor in the Regions, including completion of daily and monthly account supervision (IIROC 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.

You will complete daily reviews using Risk Compliance Intelligence (RCI) platform designed to provide accurate and detailed surveillance and analysis of all transactions, orders, account activity and holdings; allowing MD Financial to have confidence that their supervisory activities and compliance policies can be executed as per corporate and regulatory requirements.

  • You will proactively identify potential and actual compliance issues and concerns, and escalate to management accordingly.
  • You will resolve and respond to compliance queries from the various business units and clients and participate in business working groups.
  • You will partner with the Senior Branch Supervision Officer to identify compliant and practical solutions to business issues
  • You will assess and audit processes to ensure adequacy and adopt continuous improvement principles to enable success.
  • You will participate in the training and education of staff as it relates to regulatory requirements, internal policies and procedures
  • You will 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.
  • You will ensure adherence to policies, taking Scotiabank’s risk appetite and culture into consideration relative to day-to-day activities and decisions.
  • Champions a high-performance environment and contributes to an inclusive work environment.

 

What MD Expects of You:

 

  • 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.

 

What you Need:

  • Canadian Securities Course, the Conduct and Practices Course, and the Branch Managers 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, IIROC rules, and relevant National Instruments.
  • Proven analytical, project management and training abilities.

 

Assets:

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.


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