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
Solid communication, organization, and risk evaluation skills
Apply your mutual fund supervision, risk evaluation, and communication skills as an SSI compliance specialist in Montreal.

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📌 SSI Branch Compliance Officer Montreal (Quebec City)
🏢 Scotia Wealth Management
📍 Quebec City