Responsibilities
- Conduct daily review of electronic communications and understand those required to be escalated to management by identifying applicable regulatory or BNS requirements
- Report results of the eCommunications Monitoring Program within Global Wealth Management
- Perform analysis and produce various reports utilizing Microsoft Office applications and Data Analytics tools
- Identify trends, repeat findings, and patterns of identified issues and escalate all matters which may present a potential issue
- Maintain an informed level of knowledge of GWM business units (brokerages, asset management, estates and trust, private banking, mutual fund dealers, and International Wealth Management), including operational processes, regulatory obligations and risk governance
- Participate in initiatives to increase awareness of eCommunications conduct
- Conduct periodic analysis on the supervised employees lists (registrants and traders) to ensure accuracy and provide updates to relevant partners
- Work with technology partners to ensure the Global Relay application is operating effectively
- Ensure daily work volumes are completed according to deadlines and that service standards are met
- Perform other duties as assigned to enhance and support the Monitoring & Testing team’s capabilities and success
- Support ad-hoc, special and/or focused reviews as necessary, as well as other duties and projects as assigned (e.g. support for control testing activities)
- Support the Issues Management program, where necessary, helping ensure open issues resulting from monitoring and testing plans are tracked to completion
- Communicate with other business partners and front-line employees regarding firm policy and regulatory requirements when needed
- Assist wealth business units to resolve issues as required
- Actively participate in team-learning & development activities and team-performance achievements
Requirements
- Post Secondary Education required
- Strong attention to detail and exceptional planning and analytical skills with an ability to focus on critical issues
- Proficiency in Microsoft Excel
Nice to Have
- 2 to 5 years of Wealth Management industry experience is preferred
- Completion of the Canadian Securities Course (CSC) is preferred
- Working knowledge of Provincial Securities Regulations (AMF, OSC), Canadian Securities Administrators, CIRO, and Wealth specific experience (regulatory, compliance, risk management or audit)
Benefits
- Flexible benefit programs designed to support family, financial, physical, mental, and social health needs
- Opportunities to reach fullest potential, respected for who they are, and embraced for their differences
- Inclusive and high-performing culture
- Holistic well-being focus
Additional Information
- Work in a standard office-based environment; non-standard hours are a common occurrence.
- Candidates must apply directly online to be considered for this role.
- Only selected candidates will be contacted.
- Accommodation available during recruitment process upon request (e.g., accessible interview site, alternate format documents, ASL Interpreter, Assistive Technology).
