Senior Compliance Advisor

1 week ago


Montreal, Quebec, Canada NBC Full time
Senior Compliance Advisor - Wealth Management Compliance

Are you passionate about risk management and want to make a positive impact on an organization? Join National Bank as a Senior Compliance Advisor in the Wealth Management Compliance team. In this role, you will be responsible for establishing and maintaining an oversight framework for wealth management, protecting investors, portfolio managers, and other stakeholders in the sector.

Your Role:
  • Identify high-risk situations and conduct various analyses
  • Serve as a resource person on portfolio manager oversight
  • Maintain an adequate oversight program and enhance practices to manage present and future risks
  • Protect investors, portfolio managers, and registered personnel in the Risk Management sector
  • Draft, implement, and document oversight-related policies, standards, and procedures
  • Participate in committees or special projects requiring expertise
Prerequisites:
  • University degree with 3-4 years of experience in the securities industry
  • Completion of relevant courses like CSC, CPH, and IDSC
  • CIM or CFA Level 1 designation is an asset
  • Effective communication skills
  • Ability to provide quick and efficient service
Languages:
  • French
  • English
Skills:
  • Analytical Thinking
  • Clients Portfolio Management
  • Compliance
  • Diversity & Inclusion
  • Empathy
  • Financial Portfolio Management
  • Initiative
  • Investments
  • Learning Agility
  • Portfolio Management
  • Resiliency
  • Teamwork
Your Benefits:

Joining us not only offers competitive compensation but also a variety of flexible benefits for your wellbeing and family, including health and wellness programs, group insurance, pension plan, and more. Our dynamic work environments and collaboration tools create a positive employee experience. Our core values of partnership, agility, empowerment, and inclusivity shape our commitment to employees.

We're putting people first:

We prioritize a human-centric approach, emphasizing partnership, agility, empowerment, and inclusivity. Our goal is to have a positive impact on people's lives, offering a barrier-free workplace and accessible recruitment processes. If you have ambitions and skills to contribute, we welcome you to join our team.



  • Montreal, Quebec, Canada National Bank Full time

    As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you'll be responsible for establishing and maintaining an adequate oversight framework for wealth management. In this role, you'll have the opportunity to make a positive impact on our organization through your


  • Montreal, Quebec, Canada National Bank Full time

    A career as Senior Advisor Operational Compliance in the Investment Operations team at National Bank means being an expert in regulatory matters. In this role you will use your expertise to influence the compliance culture and propose solutions to continuously improve our practices and ensure that r


  • Montreal, Quebec, Canada TALINKO Inc. Full time

    Get privileged access to a selection of available positions and candidates (FILLED) SENIOR COMPLIANCE AND RISK MANAGEMENT ADVISOR Please note that this position is now filled. Talinko has a new job posting available We are looking for a Senior compliance and Risk Management Advisor. Other Activity sector Supervisory experience No Are you interested in this...


  • Montreal, Quebec, Canada National Bank Full time

    Attendance Hybrid Job Number 21136 Category Senior Professional Status: Permanent Type of Contract Permanent Schedule: Full-Time Full Time / Part Time? Full-Time Posting date 22-May-2024 Location: Montreal, Quebec City Montreal Province/State Quebec Area of Interest: Risk management As a Senior Compliance Advisor in the Wealth Management Compliance team at...


  • Montreal, Quebec, Canada National Bank Full time

    Attendance Hybrid Job Number 21136 Category Senior Professional Status: Permanent Type of Contract Permanent Schedule: Full-Time Full Time / Part Time? Full-Time Posting date 22-May-2024 Location: Montreal, Quebec City Montreal Province/State Quebec Area of Interest: Risk management A career as a Senior Compliance Advisor in the Wealth Management Compliance...


  • Montreal, Quebec, Canada Desjardins Group Full time

    As a senior legal and regulatory compliance advisor, you help design, institute and coordinate the compliance framework and enforce related rules. You help ensure that oversight measures such as officer and employee behaviours comply with the organization's standards. You lead development projects a


  • Montreal, Quebec, Canada National Bank Full time

    A career as a **Senior Trade Surveillance Advisor, Swaps** in our Compliance Trade Surveillance team at **National Bank** offers you an exciting opportunity to contribute to the trade surveillance, compliance monitoring, and testing for the Financial Markets division of NBC.This role allows you to make a positive impact on the organization and enhance...


  • Montreal, Quebec, Canada National Bank Full time

    As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you'll be responsible for establishing and maintaining an adequate oversight framework for wealth management. In this role, you'll have the opportunity to make a positive impact on our organization through your knowledge of wealth management and investment products....

  • Compliance Advisor

    1 week ago


    Montreal, Quebec, Canada National Bank of Canada Full time

    A career as a Private Client Compliance Advisor means acting as a key resource for compliance activities associated with our national network to ensure that Private Wealth Advisors and branches respect and comply with internal policies and procedures as well as industry regulatory requirements.Your job: Analyze and authorize documentation, new accounts, and...

  • Compliance Advisor

    2 weeks ago


    Montreal, Quebec, Canada iA Financial Group Full time

    DescriptionAre you passionate about tackling the challenges related to ensuring compliance in the distribution of financial products and services? Do you possess strong analytical skills, an advisory mindset, and the ability to positively impact your business partners? iA Financial Group is offering an exciting opportunity for you.Our Compliance Department,...


  • Montreal, Quebec, Canada Banque Nationale du Canada Full time

    A career as Senior Advisor Operational Compliance in the Investment Operations team at National Bank means being an expert in regulatory matters. In this role you will use your expertise to influence the compliance culture and propose solutions to continuously improve our practices and ensure that regulatory requirements are operationalized while...


  • Montreal, Quebec, Canada Adacel Full time

    The Senior Advisor in Financial Performance, reporting to the Finance Director, plays a vital role in the financial and accounting functions of the company. They will assist in planning, operating, and supervising accounting activities, data entry, payments, financial aspects, and treasury functions. The Senior Advisor in Financial Performance will...


  • Montreal, Quebec, Canada Laurentian Bank Full time

    Seeing beyond numbersTM At Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 2,800 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada...


  • Montreal, Quebec, Canada Laurentian Bank Full time

    Seeing beyond numbersTMAt Laurentian Bank, we believe we can change banking for the better. Founded in Montreal in 1846, Laurentian Bank helps families, businesses and communities thrive. Today, we have over 2,800 employees working together as One Team, to provide a broad range of financial services and advice-based solutions for customers across Canada and...


  • Montreal, Quebec, Canada National Bank Full time

    Senior Cybersecurity Advisor at National Bank of Canada Are you ready to take on the role of a Senior Cybersecurity Advisor at the National Bank of Canada? Join our team in Montreal, Quebec to showcase your expertise in cybersecurity risk management and promote a collaborative work environment. Your Role: Evaluate compliance with cybersecurity standards...


  • Montreal, Quebec, Canada National Bank Full time

    As a Senior Advisor in Investment Solutions and Portfolio Management, you will provide support for our wealth advisors on the range of managed solutions at National Bank Financial (NBF) and advise them on portfolio management best practices so that they can better support their clients and generate better returns. Your role:As a portfolio management expert,...


  • Montreal, Quebec, Canada NBC Full time

    Area of Interest: Wealth management As a Senior Advisor in Investment Solutions and Portfolio Management, you will provide support for our wealth advisors on the range of managed solutions at National Bank Financial (NBF) and advise them on portfolio management best practices so that they can better support their clients and generate better returns....


  • Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Senior Advisor Compliance Trade Surveillance Senior Professional Permanent Schedule: Full-Time Area of Interest: Risk management A career as a Senior Trade Surveillance Advisor, Swaps in our Compliance Trade Surveillance team at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of...

  • Compliance Advisor

    1 week ago


    Montreal, Quebec, Canada Banque Laurentienne Full time

    Montreal- Risk managementFull Time August 2023Laurentian Bank. Seeing beyond numbersBuilding a better and different financial institutionFinancial BenefitsWorking EnvironmentCommuting and TravellingFood and DrinksNice to haveFinancial BenefitsPension planGroup InsuranceStock purchase programMortgage, Line of Credit, Personal Loan, low interest ratesIncentive...


  • Montreal, Quebec, Canada Banque Nationale du Canada Full time

    As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you'll be responsible for establishing and maintaining an adequate oversight framework for wealth management. Identify high-risk situations and conduct various analyses Ensure an adequate oversight program is maintained while helping to enhance our practices in order...