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Facility supervisor • edmonton ab
- Promoted
Compliance Supervisor (Hybrid)
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NATIONAL BANK OF CANADAEdmonton, Alberta- Full-time
- Part-time
- Permanent
Attendance Hybrid Job number 23894 Category Senior Professional Status : Permanent Type of Contract Permanent Schedule : Full-Time Full Time / Part Time? Full-Time Posting date 06-Jan-2025 Location : Edmonton, Alberta City Edmonton Province / State Alberta Area of Interest : Risk management
In this role, a career as a Compliance Supervisor at National Bank Financial Wealth Management is to act as the key resource in overseeing the Edmonton region's compliance activities to ensure that all Wealth Advisors (WA's) and branches respect and comply with the various firm policies and procedures as established by NBFWM's Compliance Department as well as any industry regulatory requirements.
Candidate will be located in both Edmonton NBFWM locations.
Your job
- Act as the Compliance liaison, for the Edmonton region, for the internal partners (Regional Manager, WA's, Wealth Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)
- Complete regulatory supervision requirements
- Approval of documentation, including new accounts and client file updates, while ensuring compliance
- Approval of compliance activities as required by policy, procedure and regulation
- Manage Regulatory Risks of the region
- Identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
- Meet with Wealth Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist them
- Understand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of files
- Influence orientations in the area compliance and ensure the commitment of all parties involved
Prerequisite
Languages : English
Skills
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Communication Compliance Compliance risk assessment Diversity & Inclusion Empathy Initiative Investments products for individuals Learning Agility Resiliency Risk Management Securities Regulation Teamwork 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.