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Senior Compliance Officer, Wealth Management Complaints and Investigations
Location:
Toronto
Description:
Requisition ID: 188106 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose Support the Wealth Management Complaints and Investigations program, covering the various Canadian Wealth Management entities in the Scotiabank Group, in handling client complaints, escalated complaints to regulators and external complaints bodies, regulatory reporting and response obligations. Responsibilities • backss, analyze and investigate client complaints as assigned, including: • Determine the nature of the complaint, and backss whether the complaint should be reported to the relevant SRO; • Perform a detailed analysis including a review of advisor submissions, account documentation, file notes and communicate with clients, advisors and other internal departments for further details as required; • Conduct suitability backssments; • Perform profit/loss calculations and construct model portfolios; and • Prepare substantive responses to clients based on the analysis and merits of the complaint for the Senior Manager, Compliance, Complaints & Investigations to review. • Handle Provincial/National/SRO regulatory inquiries effectively in a timely manner. • Prepare materials in response to regulatory inquiries, examinations and investigations and assist legal counsel as required in preparing cases for arbitration, SRO disciplinary proceedings or civil litigation. • Collaborate with other service providers/support units, such as, Scotiabank Operations groups, Escalated Customer Concerns Office, Contact Centres. • Assist with managing the various email inboxes maintained by the Complaints and Investigations team. • Assist with the maintenance of various complaints logs for complaints and investigations as assigned. • Evaluate and make recommendations for the development/enhancement/clarification of policies, practices, procedures, and/or systems changes necessary to support ongoing compliance, including recommending. Visit ListedBuy for more information.
Company:
Scotiabank
Posted:
November 12 2023 on ListedBuy
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More About this Listing: Senior Compliance Officer, Wealth Management Complaints and Investigations
Senior Compliance Officer, Wealth Management Complaints and Investigations is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Senior Compliance Officer, Wealth Management Complaints and Investigations by searching Oodle for Executive Compliance Officer Jobs.
Senior Compliance Officer, Wealth Management Complaints and Investigations is a Executive Compliance Officer Job at Scotiabank located in United States. Find other listings like Senior Compliance Officer, Wealth Management Complaints and Investigations by searching Oodle for Executive Compliance Officer Jobs.