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Title:  Email Surveillance Administrator (Bilingual Spanish) - Toronto, ON

 

Requisition ID: 122376

As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. 

When you join ScotiaMcLeod, you’ll be empowered to deliver Enriched Thinking®, a unique approach that incorporates your client’s thinking, as well as our thinking, to drive results. You’ll work with a team of specialists to deliver a client-centric approach to wealth management, enabling you to consider all the facets of your client’s life, family and business. With a focus on total wealth planning, and wealth specialists to help you deliver on this unique value proposition, you’ll be enabling clients to see not just the big picture, but all the little ones too.

 

Major Accountabilities

 

1. Manage a program that monitors and retains employees’ e-mail and social media communication in accordance with the regulatory requirements.
• Complete and review e-mails and social media communications thoroughly and exhibit a high level of understanding relating to those communications required to be escalated to management
• Maintain an informed and consistent level of knowledge of regulatory requirements and system functions, reduce regulatory, reputational and financial risk to the firm.

 

2. Contribute to the activities relating to data analysis within the Unit:
• Perform research, analysis and maintenance of client data within the appropriate internal system(s)
• Ensures work is processed and distributed accurately according to established SLA’s
• Perform daily analysis and maintenance of various reports utilizing Microsoft Office applications
• Work directly with other business units to resolve ad-hoc issues
• Responsible for the escalation to Senior Manager, or appropriate Compliance Dept. of all matters which may present a potential issue
• Execute additional responsibilities focused on Branch Support initiatives as required.
• Maintain and develop technical skills and increase ability to navigate through Excel spreadsheets and/or databases efficiently and accurately
• Follow the email escalation process and address email issues identified by sending the customized escalation templates in a timely matter.
• Communicate with Advisors when email issues are identified by explaining the firm policies to them.
• Provide daily, weekly, and monthly stats to Management
• Identify and escalate to Management trends, repeat findings, and patterns of issues identified.
• Conduct monthly analysis on the Registrant lists to ensure accuracy and provide updated list to Global Relay. Identify opportunity to eliminate marketing emails and/or duplicates to increase efficiency.
• Participate in initiatives to increase awareness of email conduct.
• Work with our technology partners to ensure the Global Relay is operating properly.

 

3. Performs duties in a professional and thorough manner:
• Ensuring that the daily work volumes are completed according to deadlines and that service standards are always met.
• Performing other duties as assigned which will enhance the unit’s support capabilities and success.
• Effectively communicate with other business partners and Branches regarding firm policy and regulatory requirements when needed.
• Assist branches to resolve issues when needed by addressing the generic team email box.

 

4. Contributes to the overall success of the Business Services Group and the overall profitability of the Bank:
• Ensuring an appropriate level of knowledge is maintained, relative to the designated systems and procedures as they relate to BSG activities
• Participating actively in team-learning development activities and team-performance achievements
• Provide relief for and assume responsibility of other Administrators in their absence
• Ensure the Tracking of the Outside Business Activities is accurate by conducting regular updates.
• Assist managing the Outside Pro Account process and ensure accuracy of the Tracking Sheet.
• Conduct review on the External Pro account statements on a monthly basis.
• Communicate with the other financial institutes to ensure accuracy of our External Pro statements
• Assist with managing the PA queries when needed.
• Assist with the GIC review process.
• Manage the onboarding and termination process.
• Support Management in the Branch Supervision Review process by gathering the data for the pre-branch review.
• Assist with the Restricted Accounts Process when needed.
• Assist with Advisor responses to email inquiries when needed.
• Assist the Senior Manager to continue to improve the processes to increase efficiency.
• Assist the Senior Manager in continuing to update the Standard Operation Procedure for the email surveillance team

 

Education & Experience

Post Secondary Education completed - Required
CSC (Canadian Securities course) - Preferred. 
Spanish Proficiency - Required

 

NOTE: English and Spanish languages proficiency is a MUST, verbal and written. Candidates who do not meet this requirement will not be considered.

 

Location(s):  Canada : Ontario : Toronto 

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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