**Requisition ID:** 213441

**Position:** Complaints Oversight Specialist

**Location:** Toronto, Ontario, Canada

**Purpose:**
Responsible for ensuring compliance with regulatory expectations regarding client complaint handling for various Canadian Wealth Management entities within the Scotiabank Group.

**Accountabilities:**
- Oversee complaints and ensure their handling, including client responses, comply with relevant securities laws, regulations, and policies established by securities regulators including CIRO and the AMF.
- Lead the development, maintenance, and execution of policies, procedures, manuals, and guides for oversight of the Wealth Management complaint handling process.
- Collaborate with service providers/support units (e.g., Operations groups, Escalated Customer Concerns Office, Contact Centres) to foster customer trust and satisfactory relationships with regulators.
- Minimize risk of financial loss, damage to reputation, regulatory sanction, and litigation by working with compliance staff and business units.
- Coordinate/manage regulatory examinations, internal audit reviews, or investigations as requested.
- Support the Director of Wealth Complaints by overseeing the regulatory complaints team and ensuring timely resolution of complaints and regulatory issues.

**Reporting:**
- Prepare ad hoc, monthly, quarterly, and annual reports as required to Compliance, business committees, or governance committees.
- Ensure regulatory reporting is performed accurately by the team for METS and COMSET events.
- Participate in trending analysis summarizing results of regulatory complaints and investigations.

**Qualifications:**
- University Degree.
- Minimum 5 years of related experience in a large financial institution or securities regulatory agency.
- Relevant securities courses (e.g., Canadian Securities Course, Conduct and Practices Handbook).
- Experience in Canadian Banking or Wealth Management is an asset.
- Strong understanding of regulatory and industry trends; ability to translate requirements into effective policies and controls.
- Excellent judgment, strategic thinking skills, and attention to detail.
- Strong verbal and written communication skills; proven ability to develop and implement solutions to complex issues.
- Ability to adapt to rapidly changing regulatory and business environments.
- Bilingual (English and French) is an asset.

**Company Overview:**
Scotiabank is a leading bank in the Americas, committed to helping our customers achieve success through a wide range of financial services. We value the unique skills and experiences of each individual and are dedicated to maintaining an inclusive and accessible environment for all.

**Application Process:**
Candidates must apply directly online to be considered for this role. We appreciate the interest of all applicants; however, only those selected for an interview will be contacted.