Job Description
Lead compliance initiatives at Scotiabank's Wealth Management division as a Senior Officer specializing in Complaints & Investigations in Toronto. Focus on client complaint analysis and regulatory adherence.
As a key member of the Complaints and Investigations team, you will tackle the complexity of client complaints within the Wealth Management sector. With over five years of experience in compliance and a strong foundation in securities regulations, you will assess, investigate, and manage escalated complaints efficiently, ensuring that all responses meet regulatory standards.
Key Responsibilities:
• Assess nature of complaints and determine reporting needs
• Analyze advisor submissions and other documentation
• Assist legal counsel with investigations and cases
• Collaborate closely with operations and other departments
• Maintain logs for ongoing complaints and investigations
Requirements:
• College Diploma or University Degree strongly preferred
• Min...
As a key member of the Complaints and Investigations team, you will tackle the complexity of client complaints within the Wealth Management sector. With over five years of experience in compliance and a strong foundation in securities regulations, you will assess, investigate, and manage escalated complaints efficiently, ensuring that all responses meet regulatory standards.
Key Responsibilities:
• Assess nature of complaints and determine reporting needs
• Analyze advisor submissions and other documentation
• Assist legal counsel with investigations and cases
• Collaborate closely with operations and other departments
• Maintain logs for ongoing complaints and investigations
Requirements:
• College Diploma or University Degree strongly preferred
• Min...
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