Compliance Supervisor

Primary Locations: Montreal, Quebec Attendance: Hybrid Employee Status: RegularSchedule: Full-time
National Bank is currently undergoing the most significant technological transformation in its history and has many career opportunities to offer. As a Compliance Supervisor, you will act as the key resource in overseeing the Montreal region's compliance activities to ensure that all Wealth Advisors (WA's) and branches respect and comply with the various firm policies and procedures as established by NBF's Compliance department as well as any industry regulatory requirementsYour role:Act as the Compliance liaison, for the Montreal's region, for the internal partners (Regional Manager, WA's, Wealth Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)Approval of documentation, new accounts and client file updates, while ensuring complianceApproval of compliance activities, including marketing, outside business activities, and all other activities, as required by policy, procedure and regulationIdentify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional ManagersMeet with Wealth Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist themUnderstand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of filesInfluence orientations in the area compliance and ensure the commitment of all parties involvedSit on committees, participate in special projects that demand a high level of expertise, and represent the Bank with various agencies and organizationsWe want to contribute to your quality of life by offering you as much flexibility as possible in your work. For example, we offer hybrid work (remote and in the office), work schedule arrangements to help you achieve work/life balance and flexible leave that you can take when it's important to you.
Competencies required:Completed Bachelor's degree in a related field and six years' relevant experience or completed Master's degree in a related field and four years' relevant experienceA minimum of 2 years at a securities dealer acquiring extensive knowledge of various investment products, the financial markets, regulatory and internal environmentLicensed as a Registered Representative (RR) with the Investment Industry Regulatory Organization of

Canada(IIROC)Successful completion of the Investment Dealer Supervisors Course (IDSC) within 6 months of employmentAbility to communicate effectively in French and in English (for dealing with English-speaking partners outside Quebec)Preferred competencies:Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail networkProficient knowledge of the following systems: MS Office, ISM_T80, Creosus, Secured ZoneYour 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
Initiatives promoting community involvement
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.
JobField: Risk ManagementUnposting Date: 2023-01-23Job Number: COM000P1Posting Date: 2023-01-09

JOB TYPE

Work Day:Full Time

Employment type:Permanent Job

Salary:Negotiable

JOB REQUIREMENTS

Minimal experience:Unspecified