Compliance Supervisor

4 days ago


Montréal, Canada National Bank of Canada Full time

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

**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.

Come live your ambitions with us



  • Montréal, Canada National Bank of Canada Full time

    A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the...

  • Compliance Supervisor

    3 weeks ago


    Montréal, Canada National Bank Full time

    A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the...

  • Compliance Supervisor

    4 weeks ago


    Montréal, Canada National Bank Full time

    A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the...

  • Compliance Supervisor

    3 weeks ago


    Montréal, QC, Canada National Bank Full time

    A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in...

  • Compliance Supervisor

    4 weeks ago


    Montréal, QC, Canada National Bank Full time

    A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in...


  • Montréal, Canada G Canada Therapeutics Full time

    ¿Te gustaría unirte a un equipo internacional que trabaja para mejorar el futuro del sector de la salud? ¿Quieres contribuir a mejorar la vida de millones de personas? Grifols es una compañía global del sector de la salud que desde 1909 mejora la salud y el bienestar de las personas en todo el mundo. Somos líderes en medicamentos hemoderivados y...


  • Montréal, Canada Jubilant Pharma Holdings Inc. Full time

    Vous êtes passionné(e) par l'assurance d'une qualité irréprochable dans un environnement pharmaceutique et médical dynamique ? Vous vous épanouissez dans un rôle où vous pouvez mener une équipe au succès tout en respectant les normes réglementaires ? Si c'est le cas, nous avons l'opportunité parfaite pour vous ! **Pourquoi nous rejoindre ?**...

  • Compliance Officer

    2 weeks ago


    Montréal, Canada PWL Capital Inc. Full time

    **Company Overview** PWL Wealth Management is a premier independent Canadian Wealth Management firm. Canadian High Net Worth families entrust PWL to manage their investment portfolios on a discretionary basis and provide holistic financial advice for all facets of their lives. Financial Planning, Tax and Estate services are delivered via PWL Conseil, and...

  • Yard Supervisor

    2 weeks ago


    Montréal, Canada Intelcom | Dragonfly Full time

    Ride the next mile with us! The Yard Supervisor oversees the Traffic Clerks and manages traffic operations to ensure safety and compliance on-site. This role involves planning, team coordination, and enforcing traffic management policies, while maintaining smooth operations and adherence to legal and organizational standards. Key Responsibilities: -...

  • Operations Supervisor

    2 weeks ago


    Montréal, Canada Brinks Full time

    About the job 5 days schedule including Saturday. We have an exciting opportunity for an Operations Supervisor. The Operations Supervisor will operate out of our Montréal facility and report directly to the Assistant Branch Manager. The Operations Supervisor will be responsible for the overall outside and vault operations at the Montréal branch and will...

  • Lead Supervisor

    3 weeks ago


    Montréal, Canada Eminent Valet Full time

    Eminent Valet is actively seeking dedicated and motivated Lead Supervisor to become integral members of our esteemed and accomplished team. In this role, you will report directly to the Location Manager and be responsible for supervising the Parking Ambassadors. Your primary duties will include ensuring smooth parking operations, maintaining high standards...

  • Supervisor, Traffic

    4 days ago


    Montréal, Canada Livingston International Full time

    **Supervisor, Traffic** Join Livingston, the largest customs broker in Canada and the third largest entry filer in the U.S. We’re a market leader offering customs brokerage, consulting and compliance, and freight forwarding services at more than 90 key locations in North America, Europe and Asia. Customs brokerage is our core business and helping our...

  • Warehouse Supervisor

    2 weeks ago


    Montréal, QC, Canada Lineage Logistics Full time

    We are a growing organization and currently looking for a passionate and motivated Supervisor, Warehousing Solutions to join our winning team. Employment Type: Permanent Reports to: Manager, Warehousing Solutions Office/Facility: Lachine Shift: Monday to Friday: 6h00 to 14h00 ** ** The Supervisor, Warehousing Solutions leads and promotes a safety culture,...

  • Supervisor Ii, Em

    1 week ago


    Montréal, Canada Jubilant HollisterStier General Partnership Full time

    **Supervisor II, Environmental Monitoring** **Purpose of the Job**: Establishes and maintains Environmental Monitoring (EM) programs of Jubilant’ sites that meet the internal standards of Jubilant Pharma and those of the regulatory agencies (HPFBI, FDA, EU, etc.). **Key Accountabilities**: - Plans, schedules, and maintains all environmental monitoring...


  • Montréal, Canada TRENTWAY-WAGAR INC Full time

    **NOW HIRING** **SIGHTSEEING ASSISTANT SUPERVISOR** **Location: Montreal, Quebec** **Position: Supervisor Assistant, Sightseeing Division** **Reports to: Sightseeing Supervisor** Introduction Coach Canada is looking for a Supervisor for our Sightseeing Division in Montreal. In this role, you will be responsible for assisting the manager in leading and...


  • Montréal, QC, Canada Endo International Full time

    Job Description Summary Supervisor, Quality Services (12 months contract) At Paladin Pharma, we strive to offer a work environment that meets the diverse needs of our team members and advances the goals of the individual, the team and the company, while promoting flexibility, accountability and collaboration. If you're looking for a hybrid work...

  • Production Supervisor

    3 weeks ago


    Montréal, Canada Sistemalux Full time

    **Production supervisor**: **Service**: Production **Location**: Montreal From its well established office in Montreal, Toronto and Vancouver, **SISTEMALUX **serves all of North America with a wide range of architectural lightning at the cutting edge of design. In recent year, our major growth has position us as an Employer of choice which promotes talent...

  • Laboratory Supervisor

    3 weeks ago


    Montréal, Canada Lallemand Full time

    **Posting Period** From March 03, 2025 to April 12, 2025 **Country or region** Canada **Location** Montréal, Québec **Business Unit** Baking **Department** Quality Assurance and Control **Entry date** As soon as possible **Job Status** Permanent - Full time **Minimal required work experience** 5 years **Minimal education level...


  • Montréal, Canada Coca-Cola Canada Bottling Limited Full time

    Facility Location - Lachine Employee Type - Regular Employee FT Salaried Shift/Hours - **About This Opportunity**: Here's a sparkling opportunity for a Production Supervisor looking to lead a team and optimize the operation of a large supply chain. As a Production Supervisor, you will be responsible for manufacturing products using safe and efficient...

  • Customs Supervisor

    4 days ago


    Montréal, Canada Storm Search Full time

    As the Customs Supervisor, you'll be in charge of many team leadership, operational management, and customer service aspects. These responsibilities include, but not limited to: - Plan, implement, and supervise operations plan to ensure compliance with Canadian customs regulations - Support brokerage functions such as classification, entry of goods, filing...