Requisition ID: 274982

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

Purpose

- Oversee the Central Registrant and Investment Advisory (CRIA) team of Portfolio Managers to provide registrable activities and ongoing registrant duties, advising on and executing strategies for new and existing client relationships in support of non-registered local Wealth Managers and Associate Portfolio Managers.
- Oversee the Wealth Associates Advancement Program (WAAP), including its curriculum, content, development and enhancement; lead and support the program coordinator (Portfolio Manager); and engage with Wealth Associates in the program.
- Oversee the Registrant Advancement Program (RAP), including its curriculum, content, development and enhancement; and lead and support the program’s Supervising Portfolio Manager.
- Provide sales support for Portfolio Managers, Associate Portfolio Managers and Wealth Managers in support of SJF growth initiatives.
- Provide investment consulting and investment support for the overall SJF Investment Platform, representing SJF across Scotia Wealth Management Investment Solutions and risk oversight platforms.

Is this role right for you? In this role, you will:

Central Registrant Support

- Provide Registrant Support and Portfolio Advisory to Wealth Managers and APMs
- Work in consultation with the in-field Wealth Manager to fully understand and document each client’s financial needs, risk tolerance and long-term objectives, including registrable KYP, KYC and suitability activities.
- Stay abreast of changes to the central models and connect with the Wealth Advisor to discuss impacts on client portfolios and stated objectives.




- Monitor central model strategies and tactical model changes to determine required client portfolio strategies, execution impacts and necessary portfolio adjustments.
- Communicate client portfolio changes and rationale to Wealth Managers.
- Provide CRIA governance, oversight and compliance support.
- Work with 1832 AMLP Compliance and regulators to continuously refine KYC, KYP and suitability parameters.
- Adjust the Annual Review Process to account for AML, FATCA and CRS oversight.
- Develop, maintain and update policies and procedures.
- Obtain annual sign-off from all Wealth Managers confirming their commitment to the policies and procedures and their understanding of registrant responsibilities.
- Incorporate Client Focused Reforms into existing processes

Regulatory Environment

- Maintain knowledge of regulatory updates and changes, and retain auditable information covering KYC, KYP, suitability, AML and FATCA, including annual sign-off.

CRIA Wealth Manager Support

- Joint client meetings with Wealth Managers
- New account and recent client onboarding
- Existing relationship annual reviews
- Portfolio review and presentation materials
- Wealth Manager preparation and discussion
- Salesforce as the central repository for documentation
- IPQ, IPS and rationale for KYC, KYP and suitability




- Notes and follow-ups, championing the use of Salesforce for complete documentation

Centre of Investment Expertise for SJF

- Consult regularly with the manufacturing and research team.
- Act as a subject matter expert for the CIM team, Wealth Managers and other areas of Scotia Wealth Management.
- Maintain and record ongoing conversations regarding clients and their objectives.
- Monitor capital market conditions that may affect client portfolios.
- Provide recommendations for an appropriate asset mix model based on a client’s circumstances, income needs and return expectations.

Proposals, RFPs, Pitch Decks and Portfolio Attribution

- Provide sales support for requests for proposals (RFPs), expressions of interest (EOIs) and pitch decks for SJF and Global Private Banking Relationship Management (GPBRM) teams.
- Provide second-opinion and portfolio attribution reviews in support of SJF Relationship Managers and Wealth Managers. Apply Challenger methodology to add colour to the review, including specific “Reframe” and “Rational Drowning” techniques centred on attribution analysis that drives action.

Field Support

- Road shows and SJF branch visits to discuss the capabilities of CPA and CRIA
- Prepare and host retail branch presentations, including Lunch and Learns
- Guest speaking at client events
- Ultra-high-net-worth and high-net-worth prospect meetings

Partnership Support

- Private Banking: Leverage strategies and review margin requirements using MPT.
- WMCs, Retail and Commercial: Provide field support, conduct branch visits, promote SJF and support publi

📌 Director, Central Registrant and Investment Advisory (Toronto)
🏢 Scotiabank
📍 Toronto