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Business Supervision Analyst (12 Month Contract)

Date: Jun 12, 2019

Location: Toronto, ON, CA

Company: Scotiabank

 

 

 

 

 

Requisition ID: 62217

 

Join the Global Community of Scotiabankers to help customers become better off.

Major Accountabilities:

Development and Implementation of Data Analytics and Control Measures:

  • Develop a comprehensive knowledge of regulatory and operational policies and procedures, and establish processes to maintain a robust quality assurance program within ScotiaMcLeod
  • Manage the day to day execution of specific processes within the National Supervision Team and document existing processes for audit or regulatory review. Routine operational duties are required
  • Data management, report development and analytical assessment of data for review and assessment – provide opinions and identify areas of concern where required
  • Identify, quantify, and evaluate key control points within work-flow processes and procedures to ensure adherence to policy and procedures, and find efficiencies in oversight where applicable
  • Assist the Senior Manager with project development, rollout, and follow up with the Field
  • Work with Senior Manager to develop and deliver training, where appropriate, based on corrective actions
  • Assist with managing ongoing operational processes as introduced by internal or regulatory audits
  • Assist the Team with testing against existing policies (mini-audits) based on past Audit findings in order to improve preparedness for actual audit and audit outcomes
  • Assess the quality assurance program, identifying and implementing opportunities for increased effectiveness, efficiency, and risk mitigation 
  • Perform ad-hoc or focused reviews to analyze trends and identify systemic issues. Ability to summarize and provide a consolidated review to Senior Management will be required
  • Maintain and enhance policies and procedures contained within the Regulatory WealthNet section for the National Supervision Team
  • Maintain and enhance comprehensive reporting to Senior Management, Branch Management, and Advisor Teams
  • In collaboration with Senior Managers, assist with project management and establishing operational processes in response to internal and regulatory audits
  • Aid with daily functions related to email surveillance and email quarantine, providing full back-up support in a team member’s absence to ensure completion of duties
  • Establish and provide summarized quantifiable metrix for operational processes for Dashboard reporting to Senior Management
  • Ongoing sustainment as required

Interpersonal Skills:

  • Act as subject matter expert on behalf of National Supervision Team – research, document, and communicate relevant policies and procedures to the National Supervision Team
  • Provide a high level of service to Branch Management and Advisor Teams by addressing incoming inquiries and providing proactive education

 

Education/Work Experience/Designations

  • Related university degree or related experience
  • Canadian Securities Course (CSC) is an asset but not required
  • Conduct and Practices Handbook (CPH) is an asset.
  • Ability to work within a dynamic Team based environment with multiple reporting structures is required – we work within a “one Team one Goal” mentality
  • Strong understanding of data analytics – medium to advanced excel skills required – knowledge of MS Access and basic databases is an asset
  • Strong organizational abilities including file/data maintenance, general project work, and meeting deadlines
  • Understanding of internal data resources (to Scotiabank is an asset)
  • Understanding of the regulatory and operational landscape
  • Knowledge of the business landscape and terminology within a full service brokerage environment is an asset (e.g. transactional versus fee based account types, knowledge of trading activity, exposure to sales roles and definitions)
  • Familiarity with brokerage monitoring systems, investigative tools or industry resources is an asset (e.g. Broadridge, PortfolioAid360, Salesforce, client statements)
  • Ability to provide a high level of service by proactively communicating Branch Management and Advisor Teams in writing and verbally both oral and written as required
  • Experience in working on dynamic and multifaceted projects
  • Strong analytical, critical thinking, writing, communication and interpersonal skills
  • Working knowledge of MS Word and PowerPoint is an asset

Location(s):  Canada : Ontario : Toronto 

As Canada's International Bank, we are a diverse and global team. We speak more than 100 languages with backgrounds from more than 120 countries. 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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