SSI Branch Compliance Officer work in Montreal centers on mutual fund supervision, KYC suitability reviews, and regulatory compliance. Support Scotia Securities Inc. controls while communicating findings clearly.
As an SSI Supervision Specialist and licensed Branch Compliance Officer, you support Business Controls & Supervision in Canada. You review applications, order forms, trades, and exception reports for compliance with customer investment objectives and governing requirements. You also identify weaknesses, recommend corrective action, and follow up with representatives and BCOs.
Key Responsibilities:
- Review mutual fund applications and order forms for suitability
- Monitor trades and exception reports for unusual activity
- Communicate deficiencies to Registered Representatives and BCOs
- Recommend and monitor action plans addressing non-compliance
- Support Tier 1 reviews for mutual funds representatives
Requirements:
- Eligibility to be licensed to sell mutual funds in Canada
- Undergraduate degree or related work experience
- Completion of the CIRO Branch Compliance Officer course
- Knowledge of BCO responsibilities, processes, and guidelines
- Strong communication, organization, and risk evaluation skills
Apply your mutual fund supervision, risk evaluation, and communication skills as an SSI compliance specialist in Montreal.
SSI Branch Compliance Officer Montreal in Montréal employer: Scotia Wealth Management
Scotia Wealth Management is an exceptional employer that fosters a collaborative and innovative work culture in the heart of Toronto. With a strong focus on employee growth, we offer comprehensive training programs and career advancement opportunities, ensuring our team members thrive in their roles. Join us to be part of a dynamic environment where your contributions directly enhance the advisor experience and client outcomes, making a meaningful impact in the wealth management sector.
