Enhance client satisfaction in wealth management as a Senior Compliance Officer in Toronto. Lead the handling of complaints and conduct investigations within Scotiabank's regulatory framework.
In this role, you will support the Wealth Management Complaints and Investigations program for Scotiabank, focusing on client complaints and regulatory responses. With over five years of experience in compliance and a deep understanding of securities regulations, you will assess complaints, perform investigations, and collaborate with various departments for timely resolutions.
Key Responsibilities:
• Assess and analyze client complaints for reporting
• Conduct detailed investigations on advisor submissions
• Prepare responses for regulatory inquiries and examinations
• Collaborate with service providers in complaints resolution
• Maintain logs and email inboxes for the team
Requirements:
• College Diploma or University Degree required
• Minimum 5 years of experience...