A Wealth of Opportunity awaits you at DundeeWealth You will have the opportunity to…
Investigate and resolve complaints in accordance with MFDA, IIROC and industry regulations
Be responsible for maintaining accurate and compliant statistical data and preparing reports regarding the resolution of complaints. Key Responsibilities:
Investigate and resolve client complaints in accordance with Mutual Fund Dealers Association (MFDA) or Investment Industry Regulatory Organization of Canada (IIROC) regulations for Retail branches throughout Canada, including:
Drafting substantive responses to complaints within a prescribed time period, for Director review/approval;
Handle client complaint files, including capturing all client and advisor correspondence;
Responsible for soliciting Advisor submissions related to the complaint;
Maintain accurate and compliant statistical data and reports regarding the resolution of complaints;
Providing data to Complaints and Investigations Administrator and preparing reports, where appropriate, related to complaint resolution for Directors and Vice President & Chief Compliance Officer;
Notify regulators of complaints and civil claims when necessary;
Assist with the education of Branch Managers on regulatory requirements and internal policy;
Responsible for notifying regulators of complaints and civil claims via METS and COMSET systems;
Responsible for notifying E&O insurers of insurance claims for DWMSI, DPII, DIAL, Dundee Mortgage and Legal Department and providing updates to insurers as required;
Analyze potential opportunities to enhance, improve and refine the current complaint and/or regulatory investigations process; and
Assist with any other departmental projects as requested. Skills and Experience:
Over three years working experience in a legal or compliance capacity in the financial services industry, preferably within a similar role;
University and/or College graduate, or specific related working experience;
Successful completion of CSC, CPH and PDO strongly preferred;
Comprehensive knowledge and understanding of MFDA and IIROC regulations;
Strong computer skills including: Excel, Word and Dataphile system;
Strong organizational skills and problem solving skills;
Excellent verbal and written communication skills;
Detail-oriented and a strong sense of confidentiality;
Ability to manage multiple tasks and to prioritize;
Previous experience in a customer service role would be an asset; and
Bilingualism would be an asset. Addressing your financial needs as well as your overall health and well-being are top priorities at the Scotiabank Group. We are committed to offering a competitive Total Rewards package. To apply, please visit our Careers section at www.workingatwealth.com
DundeeWealth - 12 months ago