Senior Compliance Officer

Position: Senior Compliance Officer Role
Enhance wealth management experiences as a Senior Compliance Officer at Scotiabank in Toronto. Lead investigations and manage client complaints within strict regulatory guidelines.

As a Senior Compliance Officer, you will play a crucial role in Scotiabank's Wealth Management Complaints and Investigations program. This position requires over five years of compliance experience and a command of securities regulations to effectively assess complaints and perform detailed investigations. Your contributions involve timely collaboration with various departments to ensure effective complaint resolution.

Key Responsibilities:

• Assess and analyze client complaints for compliance reporting

• Conduct detailed investigations into advisor submissions

• Draft responses for regulatory inquiries and audits

• Work with service providers to facilitate resolutions

• Maintain logs and manage emails for the team

Requirements:

• College Diploma or University Degree necessary

• Minimum of 5 years in the field of financial compliance

• Relevant securities courses must be completed

• Strong judgment and excellent communication skills

• Bilingual in English and French preferred

Apply your compliance expertise to uphold Scotiabank’s standard of client satisfaction and regulatory compliance.
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