Electronic Communications Analyst

Scotiabank; Toronto; On-site; CAD 65,000 - 85,000; Full time

Job summary

A leading financial institution in Toronto is seeking an Electronic Communications Analyst to support their Global Wealth Management Internal Controls Monitoring & Testing program. The role involves conducting reviews of electronic communications, data analysis, and ensuring compliance with regulatory obligations. Candidates should have post-secondary education and wealth management experience, preferably with the Canadian Securities Course. The position offers a collaborative environment focused on inclusion and performance.

Qualifications

• 2 to 5 years of Wealth Management industry experience preferred.
• Completion of the Canadian Securities Course (CSC) is preferred.
• Working knowledge of Provincial Securities Regulations and Wealth specific experience.

Responsibilities

• Conduct daily review of electronic communications and escalate issues.
• Report results of the eCommunications Monitoring Program.
• Perform analysis and produce various reports.

Skills

Wealth Management industry experience

Attention to detail

Analytical skills

Proficiency in Microsoft Excel

Education

Post Secondary Education

Canadian Securities Course (CSC)

Job description

Requisition ID: 233477

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

The Electronic Communications Analyst contributes to the success of Global Wealth Management (GWM) Internal Controls Monitoring & Testing program by supporting the execution and delivery of key initiatives and programs. The incumbent will primarily support the Electronic Communications program within GWM, in accordance with regulatory requirements and industry best practices. They will also contribute to data analysis and testing activities supporting the GWM Business Line.

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

• Conduct daily review of electronic communications and understand those required to be escalated to management by identifying applicable regulatory or BNS requirements
• Report results of the eCommunications Monitoring Program within Global Wealth Management
• Perform analysis and produce various reports utilizing Microsoft Office applications and Data Analytics tools
• Identify trends, repeat findings, and patterns of identified issues and escalate all matters which may present a potential issue
• Maintain an informed level of knowledge of GWM business units (brokerages, asset management, estates and trust, private banking, mutual fund dealers, and International Wealth Management), including operational processes, regulatory obligations and risk governance
• Participate in initiatives to increase awareness of eCommunications conduct
• Conduct periodic analysis on the supervised employees lists (registrants and traders) to ensure accuracy and provide updates to relevant partners
• Work with technology partners to ensure the Global Relay application is operating effectively
• Ensure daily work volumes are completed according to deadlines and that service standards are met
• Perform other duties as assigned to enhance and support the Monitoring & Testing team’s capabilities and success
• Support ad-hoc, special and/or focused reviews as necessary, as well as other duties and projects as assigned (e.g. support for control testing activities)
• Support the Issues Management program, where necessary, helping ensure open issues resulting from monitoring and testing plans are tracked to completion
• Communicate with other business partners and front-line employees regarding firm policy and regulatory requirements when needed
• Assist wealth business units to resolve issues as required
• Actively participate in team-learning & development activities and team-performance achievements

Do you have the skills that will enable you to succeed in this role? – We’d love to work with you if you have:

• Post Secondary Education required

• 2 to 5 years of Wealth Management industry experience is preferred

• Completion of the Canadian Securities Course (CSC) is preferred
• Working knowledge of Provincial Securities Regulation s (AMF, OSC), Canadian Securities Administrators, CIRO, and Wealth specific experience (regulatory, compliance, risk management or audit)
• Strong attention to detail and exceptional planning and analytical skills with an ability to focus on critical issues
• Proficiency in Microsoft Excel

Location(s): Canada : Ontario : Toronto

Scotiabank is a leading bank in the Americas. Guided by our purpose: "for every future", we help our customers, their families and their communities achieve success through a broad range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets.

At Scotiabank, we value the unique skills and experiences each individual brings to the Bank, and are committed to creating and maintaining an inclusive and accessible environment for everyone. If you require accommodation (including, but not limited to, an accessible interview site, alternate format documents, ASL Interpreter, or Assistive Technology) during the recruitment and selection process, please let our Recruitment team know. If you require technical assistance, please click here. Candidates must apply directly online to be considered for this role. We thank all applicants for their interest in a career at Scotiabank; however, only those candidates who are selected for an interview will be contacted.