ScotiaMcLeod Manager, AML & Regulatory
ScotiaMcLeod Manager, AML & Regulatory
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Job Description
Requisition ID: 227576
As a cornerstone business within Scotia Wealth Management ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients assets.
When you join ScotiaMcLeod youll be empowered to deliver Enriched Thinking a unique approach that incorporates your clients thinking as well as our thinking to drive results. Youll work with a team of specialists to deliver a client-centric approach to wealth management enabling you to consider all the facets of your clients life family and business. With a focus on total wealth planning and wealth specialists to help you deliver on this unique value proposition youll be enabling clients to see not just the big picture but all the little ones too.
INTRODUCTION:
The Manager AML and Regulatory contributes to the overall success of the National Supervision Group Advisory and Regulatory Affairs within ScotiaMcLeod. They are responsible for supporting the Senior Manager AML and Regulatory in the management of ScotiaMcLeod AML and Sanctions program activities to reduce the risk of financial loss damage to reputation regulatory sanction and litigation fines and penalties for ScotiaMcLeod.
WHAT YOULL BE DOING
In this role you will:
- Monitor manage and timely respond to inquiries in the AML intake e-mail for National Supervision.
- Assist in bringing requests for Information to a resolution and arrange for closing of dormant accounts.
- Manage the process to ensure the accounts of High Risk coded appropriately on Host on Demand/Broadridge.
- Manage and monitor the exception reports related to client relationships that are approved for onboarding or retention with conditions along with escalation and remediation of incidents.
- Conduct ad hoc account reviews and providing written analysis for client accounts as required.
- Promptly submit UTRs when a clients expected behavior is deemed to be unusual or suspicious or when ScotiaMcLeod voluntarily determines to de-risk a business relationship for AML purposes..
- Support the remediating of internal audit and testing findings on targeted accounts including the development of action plans and implementation of policy and procedures to close identified gaps.
- Act as an AML resource to ScotiaMcLeod branches and operations staff providing expert guidance and excellent support with respect to AML and sanctions policies and procedures.
DO YOU HAVE THE SKILLS
Wed love to work with you if you have:
- Are a highly motivated innovative and results-oriented individual with excellent analytical written and communication skills and strong risk management skills.
- Solid understanding of the financial services industry with an emphasis on the securities sector.
- An understanding of products and services provided by ScotiaMcLeod is considered a strong asset.
- Proven skills in risk assessment and management relating to AML / ATF Sanctions matters.
- The ability to work independently and within a team environment.
- Proficient use of Word Excel and Power Point.
- A working knowledge of Broadridge (HOD) Wealthone Webpost Score Salesforce WealthNet and Wealth client onboarding process
- A minimum of 2 years experience working in an AML or regulatory capacity or in a securities sector setting within a financial institution.
- CAMS or CFCS certification Preferred
- Canadian Securities Course Preferred
WHATS IN IT FOR YOU:
- At ScotiaMcLeod we help employees build their futures where they can be themselves and win together. With a commitment to diversity and inclusion and a performance-oriented culture that includes coaching learning and development there are endless possibilities. At ScotiaMcLeod you can make an impact. You help make the futures of our 25 million customers happen. You can find your future here.
- The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
- An organization committed to making a difference in our communities for you and our clients.
- An inclusive working environment that encourages creativity curiosity and celebrates success.
- Learning and Development free access to Scotia Academy to upskill and develop your skills
#SWM #LI-Onsite #LI-HA1
Location(s): Canada : Ontario : Toronto
Scotiabank is a leading bank in the Americas. Guided by our purpose: for every future we help our customers their families and their communities achieve success through a broad range of advice products and services including personal and commercial banking wealth management and private banking corporate and investment banking and capital markets.
At Scotiabank we value the unique skills and experiences each individual brings to the Bank and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including but not limited to an accessible interview site alternate format documents ASL Interpreter or Assistive Technology) during the recruitment and selection process please let our Recruitment team know. If you require technical assistance please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however only those candidates who are selected for an interview will be contacted.
Required Experience:
Manager
Employment Type
Full Time
