Requisition ID: 224222
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.

BRIEF INTRODUCTION:

The primary objective of the Branch Supervision Manager is to keep the business safe by conducting ongoing supervisory activities to a high standard, identifying potential issues and concerns and ensuring appropriate corrective actions are implemented in a timely manner.

The role is also accountable to provide guidance, support, leadership and training to all Advisors, Branch Managers and Assistants as it relates to sales supervision.

WHAT YOU'LL BE DOING
In this role you will:

• Perform Tier 1 Supervision of the ScotiaMcLeod network and the International Investment Advisory (IIA) branch in accordance with industry regulations and firm policies and procedures.
• Conduct daily trade reviews for all transactions within one business day of trade date.
• Conduct monthly client account reviews for all client accounts
• Proactively identify, through daily and monthly trade reviews, potential and actual compliance issues and concerns, conduct the necessary follow-up inquiries and reviews, and ensure that appropriate corrective actions are implemented in a timely manner.
• Ensure adherence to; large order policy, anti-money-laundering / anti-terrorism financing. requirements, security concentration rules, registration requirements, trade correction protocols, and commission discounting guidelines
• Stay informed of investment industry trends and issues.
• Assist Advisors in understanding and implementing compliance rules in their business.
• Provide oversight of new accounts opened for the International Investment Advisory branch.
• Act as a Subject Matter Expert on Country Rules, and provide oversight of offshore accounts opened by ScotiaMcLeod Advisors.
• Liaising with the Compliance Department, identifying patterns and on-going concerns to be addressed through training initiatives.

DO YOU HAVE THE SKILLS
We'd love to work with you if you have:

• Minimum 5 to 10 years experience in the financial services industry, with some branch and sales management experience and accomplishments.
• Strong understanding of, and experience in, general management concepts, i.e. finance, human resources, marketing, sales, compliance, operations.
• Commitment to on-going industry education and CE requirements to remain registered.
• Investment Dealer Supervisors Course (IDSC)
• Must be able to be licensed in a Supervisory capacity of Registered Representatives through CIRO
• Spanish proficiency required
• Options licensing would be an asset
• French proficiency would be an asset

WHAT'S IN IT FOR YOU:

• At ScotiaMcLeod we help employees build their futures – where they can be themselves, and win together. With a commitment to diversity and inclusion and a performance-oriented culture that includes coaching, learning, and development – there are endless possibilities. At ScotiaMcLeod– you can make an impact. You help make the futures of our 25 million customers happen. You can find your future here.
• The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
• An organization committed to making a difference in our communities– for you and our clients.
• An inclusive working environment that encourages creativity, curiosity and celebrates success.
• Learning and Development – free access to Scotia Academy to upskill and develop your skills

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.