Establishing procedures and guidelines within the departmentIdentifying and communicating compliance deficiencies and potential problems to management: coordinating with and providing assistance to management in developing and implementing corrective action to resolve identified problems. Tracking all issues requiring corrective action and following up to ensure corrective action has been taken.Conducting investigations for any circumstances around non-compliance determining root cause, extent of resulting losses and developing corrective action plans.Coordinating preparation of support documentation for various compliance and audit requests.Conducting and overseeing BSA/AML monitoring activitiesEnsuring adherence to corporate policy and proceduresMonitoring, tracking and following up on quality control review findings based on established methodology.Gathering weekly, monthly and quarterly department metrics for reporting to senior and executive management.Recommending changes to procedures or system functionality that meet policy requirements and improve efficiency.Monitoring and assessing team workload to ensure that the team effectively meets service expectations and provides quality work productsDrawing coaching plans and meetings aimed at staff development and performance improvementCoordinating and execution of FIRST Canada BCP ActivitiesCarrying out general leadership and management activities

Investigating and complaint resolution of banking and investment casesReview, analyze and investigate complaints including issues of suitability, risk tolerance, order execution, systems functionality, disclosure and performance of investment portfoliosDrafting of facilitated settlements, negotiation of settlementsBanking complaints regarding wire transfers, credit cards fraud and chargebacks, job and loan scams, cryptocurrency frauds, mortgage disclosures, mortgage prepayments, privacy breaches

Carrying out independent and impartial review of retail and small-business bank client’s complaintsResearch and investigative work related to the above-mentioned reviews, collaboration with internal partners and completion of investigation and closing each case within 30 days.Compiling statistics and reports of client complaints as well identifying trends and providing feedback to different bank departments to help address systemic issues and enable proactive action.Cooperative work with External Complaints Body ADRBO/OBSI for cases that are escalated to the next level of complaint resolution.

Resolving of client's issues and escalations pertaining to trading and services.Options and equities supervisor - providing overrides for the placement of equity and option trades that exceed a certain number of contracts and/or trade value.

Setting up skill builders and presenting them, assisting colleagues with enquiries as well as solving clients' issues.Placing trades in equities, options, bonds, mutual funds etc for clients.Verifying clients accounts on options expiry to ensure they can carry assigned positions. Posting assigned positions and adjusting of buying power.

Placing trades for clients in different investment instruments e.g. equities, options, futures, FX, bonds, mutual funds etc.

Supervise, coach and manage customer service personnel. Ensure the provision of efficient and outstanding customer service. Recommend promotion and execution of disciplinary action.

Provide outstanding customer service. Contact financial institutions in the blocking of lost credit cards. Assist in the delivery of emergency credit cards and funds.