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
Press space or enter keys to toggle section visibility
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) • Sherbrooke
Become a Senior Accountant at Mak & Fong in Richmond, BC, where you will manage client engagements and provide tailored financial guidance.This full-time role emphasizes hands-on management of assu... Show more
Serve as a key player in ensuring security at Simons as a Loss Prevention Agent in Sherbrooke, QC.Protect assets while working in a collaborative setting.Simons is looking for a proactive Loss Prev... Show more
Programme de bonification annuelle, Options de travail flexibles, Régime de retraite et avantages sociaux compétitifs et Avantages voyages exclusifs Marriott.Manages the execution of all operations... Show more
Francis Elementary School as a Student Supervisor in Richmond, Quebec.This part-time position ensures students' safety and promotes adherence to school discipline policies.As a crucial part of the ... Show more
Looking for people to participate in taking online surveys for Fortune 500 brands.All you need to do is complete online surveys by sharing your opinion.You will help influence brand decisions on se... Show more
Are you an experienced Tax Director eager to provide strategic tax advice? Join our firm and help us develop effective tax solutions while enjoying a flexible schedule.We are in search of a passion... Show more
A leading recreational vehicle manufacturer in Canada is seeking an experienced professional to lead international trade compliance initiatives.You will manage customs documentation and support sup... Show more
Position Summary To collaborate with all levels including Store Management, Market Management, and Subject Matter Experts.They will be responsible for the education of associates and managers on co... Show more
Step into a Technical Service Advisor role with BRP and immerse yourself in the powersports field.Utilize your expertise to guide dealers and enhance service quality for customers.BRP is on the loo... Show more
We are the home of ambitious, passionate, and innovative world shapers.With an unmatched breadth and depth of engineering, advisory and science‑based expertise, our global minds unite to power loca... Show more
Support the organization on the key processes of international trade compliance by developing, implementing, and monitoring efficient controls and corrective actions to maintain best‑in‑practice co... Show more
Join a full-time Purchasing Clerk role in Sherbrooke, QC, providing essential support to the procurement team and enhancing data management.This dynamic position is ideal for detail-oriented indivi... Show more
Step into a Senior HVAC Project Manager role with WSP in Sherbrooke, QC, where you'll manage large-scale industrial HVAC projects.Utilize your leadership skills to drive multidisciplinary project s... Show more
About the job Senior Accountant.On behalf of our client, Mak & Fong, we are looking for a Senior Accountant to join their growing team.This position is ideal for an ambitious public practice Accoun... Show more
The principal and customary work of an employee in this class of employment consists in ensuring that students adhere to the school policy on discipline.School / Centre / Department: Richmond Regio... Show more
Take on the role of Supervisor of Student Conduct at Richmond Regional High School in Quebec.Ensure the safe and disciplined behavior of students across the campus.This part-time position involves ... Show more
Empower lives as a Senior Mechanical Engineer with Arjo, focusing on healthcare mechanical solutions.Contribute to innovative rail systems enhancing patient movement.In this role, you'll specialize... Show more
Intégrez l’établissement de Windsor comme Surintendant Machines en pleine croissance.Ce rôle permanent nécessite une expertise approfondie dans la gestion des opérations et la sécurité au travail.A... Show more
Support the organization on the key processes of international trade compliance by developing, implementing, and monitoring efficient controls and corrective actions to maintain best‑in‑practice co... Show more
Become a key influencer at Staples Canada as a Retail Operations Supervisor.Drive sales and enhance customer experiences while leading a dedicated team towards operational excellence.This position ... Show more
