Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose: The Manager, Scotia Financial Planning Supervision plays a critical role in Scotia Securities Inc's (SSI) commitment to minimizing defects and regulatory risks at the national level. Reporting to the Senior Manager, Scotia Financial Planning Supervision, this position involves working within a team of licensed BCOs (Branch Compliance Officers) and providing essential support and oversight to the Regional Managers (BCO) and Financial Planners (FP). The primary focus is to contribute to the National Team's efforts in promoting compliance with BCO Accountabilities and Supervisory Responsibilities. Additionally, the Manager will contribute to enhancing mutual funds subject matter expertise across all registrants and minimizing regulatory risk.



The incumbent will also participate in ad-hoc initiatives providing expert knowledge in the understanding and remediation of emerging risks and/or new issues and will be responsible for the sustainment and the promotion of all changes and innovations, (including the way we do business and how we conduct ourselves) in a dynamic regulatory setting. Is this role right for you? In this role, you will: BCO Oversight and Compliance Planning: Develop an annual SSI compliance plans/objectives for assigned Regions, considering factors such as compliance risk in each Region, tolerance thresholds, SSI Testing results, and emerging trends. Implement oversight activities to support Regions in managing SSI regulatory risk, including a coaching framework, performance considerations with Senior Leadership, monitoring, reporting, and addressing compliance issues proactively. Assist Regions in preparing for audits or SSI Testing engagements, ensuring compliance with regulatory requirements and the

📌 Manager, Scotia Financial Planning Supervision (Toronto)
🏢 Scotiabank
📍 Toronto