Senior Compliance Officer, Complaints & Investigations - Wealth Distribution Compliance

Title: Senior Compliance Officer, Complaints & Investigations - Wealth Distribution Compliance

Requisition ID:

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

• Assess, analyze and investigate client complaints as assigned, including:
  • Determine the nature of the complaint, and assess 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 assessments;
  • Perform profit/loss calculations and construct model portfol...