A career as a Senior Compliance Supervisor at National Bank means acting as a specialist in overseeing regional compliance activities to ensure that all Wealth Management Advisors (WMAs) and branches comply with the various policies and procedures established by NBC, as well as all industry regulatory requirements. You are also responsible for providing compliance support to Wealth Management, with an emphasis on managing regulatory, civil, and reputational risk for NBWM.
Your role
• Act as a compliance liaison with internal partners (Regional Director, WMAs, Wealth Management Associates, and Administrative Assistants), as well as external partners (auditors and regulatory bodies)
• Ensure first-line (Tier 1) oversight of advisors’ and branches’ compliance activities, in accordance with internal policies and regulatory requirements
• Approve client account documentation and review and approve compliance-related activities, including conflicts of interest and outside activities
• Conduct branch visits according to a pre-established schedule
• Provide compliance expertise services to your region related to regulatory obligations, and respond to both routine and complex advisory requests
• Promote a culture of risk identification and management, including documentation and management of high-risk files, escalations, and action plans
• Build a culture of compliance through education by developing awareness and knowledge through ongoing support, communication, coaching, and employee training
• Support the training and development of new Compliance Supervisors
• Participate in committees that support risk management governance
Your team
Our team stands out for its field-based approach, close proximity to advisors, and ability to translate regulatory requirements into concrete and practical solutions. We aim to offer you maximum flexibility to support your quality of life. This is reflected in a hybrid work environment, as well as a flexible and adaptable schedule.
Prerequisites
• University degree and a minimum of 5 years of experience in compliance roles with a securities dealer
• Minimum of 3 years of experience in a Compliance Supervisor role
• Licensing requirement: The selected candidate must be approved as a supervisor under CIRO rules, including successful completion of the CIRO Supervisor Exam
• Demonstrated ability to identify and mitigate compliance risks
• Experience in audits, regulatory examinations, or investigations
• Excellent knowledge of the industry regulatory framework
• Positive attitude to promote a strong culture of compliance within the region served and within the compliance team
Languages: French
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Compliance Management Regulatory Requirements Securities Teamwork Working with Brokers Regulatory Compliance Auditing Standards Compliance Regulatory risk identification Compliance Risk Monitoring Undertakings For Collective Investment In Transferable Securities Directives Your benefits In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family such as:Senior Compliance Supervisor (Hybrid) • Saint-Hyacinthe
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