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Compliance Supervisor

Compliance Supervisor

NBCMontreal, Quebec
30+ days ago
Salary
CA$83,000.00–CA$90,000.00 yearly
Job description

Area of Interest : Risk management

A career as a Compliance Supervisor for the NBF Compliance Services Team, is to act as an essential resource in managing centralized approvals nationwide and provide crucial support for regional Compliance Supervisors during their absences.

This role entails conducting daily supervision, handling regulatory approvals, and aiding in the region's compliance efforts to guarantee that all Wealth Advisors and branches adhere to the firm's policies and procedures, as well as industry regulatory standards. Additionally, the NBF Compliance Services Team is tasked with carrying out routine supervision to maintain adherence to our regulatory commitments.

Your role :

  • Overseeing client communications, which includes reviewing and approving advertising materials, social media activities, content in microsites (the websites of our Wealth Advisors).
  • Centralized review and approvals addressing a variety of regulatory and operational risks.
  • Replacing regional compliance supervisors. This includes approving KYC documentation, managing regional queries, and daily review of transactional activity.
  • Detect potentially risky situations, quickly alert regional directors and regional compliance supervisos and recommend the necessary corrective actions
  • Weekly and monthly supervisions which includes approval of outside activities of registered persons, review of financial plans and a surveillance of tools used for exchanging client documents.

Basic requirements

  • University degree in a related field and 3 years' relevant experience
  • A minimum of 2 years at a securities dealer acquiring extensive knowledge of investment products, the financial markets, regulatory and internal environment
  • Licensed as an Investment Representative (IR) or Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
  • Successful completion of the Investment Dealer Supervisors Course (IDSC) or obtain it within 3 months of hiring
  • Strong organizational skills, time management, ability to multi-task, and adapt to a rapidly changing environment

    • Languages :

  • Language : French
  • Language : English

    • Reason to require this language : you will need to serve clients who speak a language other than French regularly.

    Skills

    Communication Compliance Compliance Management Diversity & Inclusion Empathy Initiative Investments Learning Agility Resiliency Risk and Compliance Reporting Securities Regulation Surveillance 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.

  • Health and wellness program, including many options
  • Flexible group insurance
  • Generous pension plan
  • Employee Share Ownership Plan
  • Employee and Family Assistance Program
  • Preferential banking services
  • Opportunities to get involved in community initiatives
  • Telemedicine service
  • Virtual sleep clinic

    • These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family.

    Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged.

    We're putting people first :

    We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people.   Our mission is to have a positive impact on peoples' lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments. We offer a barrier-free workplace that is accessible to all employees.

    We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us. We welcome all candidates! What can you bring to our team?

    Come live your ambitions with us!