Compliance supervisor

1 week ago

Montreal Quebec GF, CA National Bank 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 updates to client records.
  • Perform transactional monitoring, detect risky situations, and produce diversified and relevant analyses.
  • Act as a point of contact for the conduct of business with Wealth Management Advisors, the Regional Director and other partners.
  • Ensure the implementation and management of changes, documentation, monitoring and control of policies, standards and procedures related to the monitoring and conduct of business; Produce recommendations to improve current processes and increase their efficiency.
  • Train and sensitize our sales force to requirements (existing and new) as well as emerging risks.

Your team

In the Commercial Banking & Private Banking 1859 sector, you will be part of a team of 13 colleagues and report to the Senior Manager of Administration & Performance Measure | Risk and Operational Quality. Our team stands out for its quality of advisory role and regulatory expertise.

Our learning-in-action training programs allow you to master your craft. Customized training content on topics such as new regulatory requirements is available to support your continuous learning. Access to colleagues with different expertise, experience and diverse profiles enriches your development from all points of view.

Prerequisites

  • Bachelor's degree completed in a related discipline (Finance, Law, Accounting or Economics)
  • 5 to 6 years of experience in the security industry
  • Demonstrate successful completion of the following relevant courses, including a current registration with OCRI: Securities Course, Conduct and Practices Manual Course, Securities Dealer Supervisor Course
  • Successful completion and registration on Financial Planning is an asset and will be an integral part required within 18 months.
  • Ability to communicate effectively, verbally and in writing, to provide advice and recommendations to our partners.
  • Ability to work under pressure and on multiple files, dynamic and have an interest in learning.
  • Ease with day-to-day operational activities.
  • Ability to promote ethical conduct aligned with the organization's values.
  • Strong sense of collaboration
  • Rigorous, analytical and agile
  • Bilingualism (spoken/written) French and English, essential.
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

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