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Senior Compliance Expert

2 months ago

Montreal, Quebec, Canada NBC Full time
About the Role

We are seeking a highly skilled Senior Advisor Operational Compliance to join our Investment Operations team at National Bank. As a key member of our team, you will play a critical role in ensuring the effective operationalization of regulatory requirements and promoting a healthy compliance culture.

Key Responsibilities
  • Compliance Policy Implementation: Ensure the application of compliance policies in the sectors supported via projects, revisions, or specific cases.
  • Regulatory Expertise: Answer regulatory questions from supported teams and formulate decisions for specific cases.
  • Process Improvement: Lead a process change related to compliance with supported teams if a specific decision could influence future processes.
  • Business Acumen: Understand business issues, identify stakeholder needs, and propose innovative strategies.
  • Collaboration: Participate in partner-compliance committees and contribute to the mastery and understanding of compliance obligations by investment operations employees.
  • Influencing Partners: Demonstrate a high level of influence with partners in determining solutions.
  • Documentation: Contribute to documenting and maintaining up-to-date documentation of standards and requirements applicable to the sector.
  • Process Implementation: Make recommendations when implementing new processes to ensure effective operationalization of regulatory requirements.
  • Audit Support: Support teams during audits.
About the Team

You will be part of a team of 10 colleagues and report to the Senior Director of Compliance and Operational Quality, Investment Operations. Our team's mandate is varied, aiming to supervise and promote a healthy compliance culture and act as an expert, particularly for matters of a regulatory nature governing wealth management activities.

Requirements
  • Completed bachelor's degree, related to the sector of activity, and 6 years of relevant experience or completed master's degree, related to the sector of activity, and 4 years of relevant experience.
  • Good knowledge of compliance standards related to asset management.
  • Good knowledge of the Act and Regulations respecting the laundering of proceeds of crime and the financing of terrorist activities.
  • Knowledge of securities and investment products.
  • Knowledge of the Microsoft Office suite.
  • Knowledge of registered plans, an asset.
  • Experience in wealth management, an asset.
Language Requirements

Language: French and English. You will need to discuss frequently with our service providers or partners who speak a language other than French.

Skills

We are looking for candidates with strong analytical, communication, and interpersonal skills. Additionally, experience in wealth management and knowledge of compliance standards related to asset management are assets.

Benefits

In addition to competitive compensation, you will be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family. These include a health and wellness program, flexible group insurance, a generous pension plan, an Employee Share Ownership Plan, an Employee and Family Assistance Program, preferential banking services, opportunities to get involved in community initiatives, telemedicine service, and a virtual sleep clinic.

About NBC

We are 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.