Business Supervision Analyst - Toronto, ON

 

Requisition ID: 36400

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

What your role will be...

Business Supervision Analyst

 

Purpose of Job:

The incumbent is responsible to ensure Team goals and initiatives are executed and delivered in support of the Team’s objectives and operational efficiencies. Ensures all activities are conducted within governing regulations and compliance, internal policies, and procedures.

 

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.

 

 

Location(s):  Canada : Ontario : Toronto

As Canada’s International Bank, we are a leader when it comes to inclusion. We are a diverse and global team, speaking 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. Candidates selected for an interview will be contacted directly.  If you require accommodation during the recruitment and selection process, please let us know. We will work with you to provide as seamless a recruitment experience as possible.

Company
ScotiaBank
Posted
09/20/2018
Type
Full time
Location
Toronto, 08, CA