Regulatory affairs Jobs in Sudbury, ON

Is this role right for you?

In this role, you will:

• Reporting to the Manager, Regional Administration, as a Client Service Associate, you will be responsible for providing administrative and operational support, both in-office and virtually, to assist Financial Consultants and/or Portfolio Managers in maintaining high standards of service for all MD clients.
• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge
• Provide service and sales support to Financial Consultants and Portfolio Managers, responding effectively to all inquiries from current and prospective clients concerning MD products and services, and facilitating contact and opportunity management
• Accountable for the preparation and processing of client documentation, preparing correspondence to clients and third parties, and inputting transaction requests as directed by Advisors and Portfolio managers
• Maintain a follow-up system for inquiries, complaints, and problem resolution, ensuring that established MD service standards are being met in a timely manner
• Establish and maintain a plan to ensure all existing clients are contacted regularly and paperwork required for meetings is prepared in advance
• Book on-site and virtual client meetings, preparing files, sending meeting reminders, responding to time-sensitive requests from Advisors during client meetings, preparing correspondence and ensuring a quick and efficient response to all inquiries from current and prospective clients regarding MD products and services
• Process documentation related to new accounts and trade requests, input transaction requests as required, confirming all regulatory requirements are adhered to
• Use your knowledge of MD’s products & services to identify opportunities, anticipate client needs, and partner with other lines of business to arrange mutually beneficial client contact strategies
• Support and participate in the research and resolution of a variety of complex client concerns as well as contributing to special projects, as required
• Responsible for adherence to professional standards, including policies, procedures and best practices and professional codes of conduct related to client engagement, taking Scotiabank’s risk appetite and culture into consideration relative to day-to-day activities and decisions
• Ensure monthly compliance-related tasks, such as compliance reporting logs and following up on non-compliant paperwork, are completed efficiently
• Liaise with Accountants and third parties to provide tax documents or statements as requested.
• General office duties, including reception coverage as required.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions
• Actively pursues effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational, compliance, AML/ATF/sanctions and conduct risk.
  

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

• A commitment to an exceptional client experience – using your ability to quickly and clearly understand the client’s perspective, you will provide timely and accurate responses to a myriad of queries.
• A sense of urgency – what’s important to the client is equally important to you. You thrive on getting things done and done well
• The flexibility to work independently and as part of a broader team
• You embrace change – thriving in a diverse environment of ever-changing and competing priorities
• A dedication to organizational efficiency – maintaining a strong attention to detail coupled with the ability to follow up and follow through in a results-oriented fashion. College diploma or university degree in business, commerce or equivalent
• Demonstrated knowledge of the financial services industry and rules regarding Estates, Trusts, RESPs, RRSPs/RRIFs, TFSAs, Mutual Funds and other investment products
• Approval as an Investment Representative with the Canadian Investment Regulatory Organization (CIRO)
• Proficiency with Microsoft Office Suite
• Working knowledge of CRM2
  

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