Requisition ID: 259293

ScotiaMcLeod, a cornerstone of Scotia Wealth Management®, is a full-service wealth management firm with a proud history dating back to 1921. Known for service excellence, trusted advice, and a collaborative culture, we’re committed to helping clients grow and protect their wealth by understanding their complete financial picture—life, family, business, and future.

Our signature Enriched Thinking® approach brings together investment, wealth planning, and advisory specialists to deliver truly personalized solutions. You’ll be supported by an innovative, team-based environment that values integrity, client focus, and continuous growth.

At ScotiaMcLeod, you’re not just building a career—you’re joining a firm where ideas spark, collaboration thrives, and you’re empowered to reach your full potential while making a real impact in your clients' lives.

INTRODUCTION:

The Supervision Analyst and Quality Assurance Manager is responsible to ensure teams goals and initiatives are executed and delivered in support of the objectives and operational efficiencies within ScotiaMcLeod. They ensure all activities are conducted within governing regulations and compliance, internal policies, and procedures.

WHAT YOU’LL BE DOING

In this role you will:

• Develop a comprehensive knowledge of regulatory and operational policies and procedures, and establish processes to maintain a robust quality assurance program within ScotiaMcLeod
• Manage the day-to-day execution of specific processes within the National Supervision Team and document existing processes for audit or regulatory review. Routine operational duties are required
• Data management, report development and analytical assessment of data for review and assessment – provide opinions and identify areas of concern where required
• Identify, quantify, and evaluate key control points within work-flow processes and procedures to ensure adherence to policy and procedures, and find efficiencies in oversight where applicable
• Assist the Senior Manager with project development, rollout, and follow up with the Field
• Work with Senior Manager to develop and deliver training, where appropriate, based on corrective actions
• Assist with managing ongoing operational processes as introduced by internal or regulatory audits
• Assist the Team with testing against existing policies (mini audits) based on past Audit findings in order to improve preparedness for actual audit and audit outcomes
• Maintain and enhance policies and procedures contained within the Regulatory WealthNet section for the National Supervision Team
• Aid with daily functions related to general inbox inquiries providing full back-up support in a team member’s absence to ensure completion of duties
• Establish and provide summarized quantifiable metrics for operational processes for Dashboard reporting to Senior Management

DO YOU HAVE THE SKILLS

We’d love to work with you if you have:

• Related university degree or related experience
• Canadian Securities Course (CSC) or CIRE is an asset but not required
• Ability to work within a dynamic Team based environment with multiple reporting structures is required – we work within a “one Team one Goal” mentality
• Strong understanding of data analytics – medium to advanced excel skills required –knowledge of MS Access and basic databases is an asset
• Strong organizational abilities including file/data maintenance, general project work, and meeting deadlines
• Understanding of internal data resources (to Scotiabank is an asset)
• Understanding of the regulatory and operational landscape
• Knowledge of the business landscape and terminology within a full-service brokerage environment is an asset
• Familiarity with brokerage monitoring systems, investigative tools or industry resources is an asset (e.g. Power BI, Broadridge, PortfolioAid360, Salesforce, client statements)
• Ability to provide a high level of service by proactively communicating Branch Management and Advisor Teams in writing and verbally both oral and written as required
• Strong analytical, critical thinking, writing, communication and interpersonal skills

WHAT’S IN IT FOR YOU

• Competitive Compensation and Benefits package including annual incentive plans, time off entitlements, Pension Plan, Employee Share Ownership Plan and favourable employee rates for employee banking
• The opportunity to join a forward-thinking organization where you are surrounded by a collaborative team of innovative thinkers.
• An organization committed to making a difference in our communities– for you and our clients.
• An inclusive working environment that encourages creativity, curiosity and celebrates success.
• Learning and Development – free access to Scotia Academy to upskill and develop your skills.

#SWM

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. 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.