Requisition ID: 268318 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose Contributes to the overall success of Scotia

McLeod in Canada ensuring specific individual goals, plans,initiatives are executed / delivered in support of the teams business strategies and objectives.

Ensures allactivities conducted are in compliance with governing regulations, internal policies and procedures.

Accountabilities Champions a customer focused culture to deepen client relationships and leverage broader Bankrelationships, systems and knowledge.

Generate sales or revenue building ideas by utilizing an in-depth knowledge of products and services to gainmaximum value from existing clients, identifying opportunities to gather additional assets and/or increase revenuewithin the existing client base and present to the Advisor (i.e. referrals, consolidation of assets, insurance, etc.),managing the execution of New Issue recommendations on behalf of the Advisor, managing the execution oftransactions on behalf of the Advisor, and assisting Advisor in development, preparation and presentation of annualbusiness plan.

Ensure a high level of client service by preparing, analyzing, and presenting to the Advisor for review.(i.e. reports and recommendations, financial plans/concepts, insurance, annual trading summary etc.),adhering to all firm and regulatory policies by remaining up to date with all the regulatory rules andtrading activities as it relates to a clients account and ensuring that any client interaction is accuratelydocumented, and providing recommendations for improvement to business processes, additional valueto clients, utilization of our Team of Experts, etc.).





Ensure effective client administration by following up with clients on missing documentation required as per theindustry regulatory requirements, maintaining client files and information of the appropriate systems, checking dailytrades and all system entries in accounts for timelines and accuracy, responding to client inquiries in a timely,responsive manner by resolving issues and effecting client transactions expeditiously and accurately, escalatingissues to Advisor when appropriate, issue instructions for client withdrawals, deposits, swaps and transfersaccording to client or Advisor''s instructions, and reviewing processes to improve administrative efficiencies.

Support the Advisor by entering client trades, ensuring the suitability of client recommendations, and thatthey are in line with the clients financial goals, objectives and risk tolerance, understanding client profiles and thatthe Advisors investment strategy being used to implement client objectives, and ensuring non-solicited trades meetthe client risk tolerance.

Contribute to the effective functioning of the branch team by building effective working relationshipsacross the team and with various business line and corporate function contacts, maintaining a high levelof customer service, facilitating a culture of open and honest communication, actively participating andcontributing to touch bases and team meetings, encouraging the generation of new ideas andapproaches, actively sharing knowledge and experience to enhance the development of all teammembers,



developing and executing a meaningful employee development plan, and cting as a mentorto junior colleagues and taking a leadership role within the branch.

Understand how the Banks risk appetite and risk culture should be considered in day-to-day activitiesand decisions.

Actively pursues effective and efficient operations of their respective areas in accordance with

Scotiabanks Values, its Code of Conduct and the Global Sales Principles, while ensuring theadequacy, adherence to and effectiveness of day-to-day business controls to meet obligations withrespect to operational, compliance, AML/ATF/sanctions and conduct risk.

Champions a high performance environment and contributes to an inclusive work workplace.

The Senior Associate would review or escalate any client issues that would put the firm or the Advisor at risk.

Education, Experience & Other Information: 2 years of Industry Experience Excellent written and verbal communication skills Strong organizational skills Ability to take initiative and work independently Ability to meet deadlines Understanding of industry and firm compliance regulations Knowledge of back-office procedures In-depth industry knowledge Post secondary education All applicable education, examination, and training requirements for licensing and confirmed registration as an Investment Representative with the Canadian Investment Regulatory Organization (CIRO) Licensing as required by the Advisors business The role operates within a standard office environment.

The branch is a fast paced often high stress environment often with conflicting demands.

Seminars and client/prospect events are often held in the evening which can require a longer than usual working day.

Bilingualism in English and Spanish is preferred. #SWM #LI-HA1 #LI-Onsite

📌 IIA Senior Associate, ScotiaMcLeod - Toronto
🏢 Scotiabank
📍 Toronto