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.