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Senior Compliance Operations Advisor

2 months ago

Montreal, Quebec, Canada NBC Full time

Area of Interest: Operations

A position as a Senior Compliance Operations Advisor within the Investment Operations division at NBC involves being a specialist in regulatory compliance. In this capacity, you will leverage your knowledge to shape the compliance culture and suggest enhancements to consistently refine our practices, ensuring that regulatory mandates are effectively integrated while contributing to the evolution of our organization.

Your Responsibilities:

  • Oversee the enforcement of compliance policies across supported sectors through projects, assessments, or specific scenarios.
  • Address regulatory inquiries from supported teams and make determinations for particular cases.
  • Facilitate process modifications related to compliance with supported teams if specific decisions may impact future operations.
  • Comprehend business challenges, identify stakeholder requirements, and propose innovative solutions.
  • Engage in partner-compliance committees.
  • Enhance the understanding of compliance obligations among investment operations personnel.
  • Exhibit a high degree of influence with partners in formulating solutions.
  • Assist in documenting and keeping current records of standards and requirements pertinent to the sector.
  • Provide recommendations during the implementation of new processes to ensure effective integration of regulatory mandates.
  • Support teams throughout audit processes.

Your Team:

You will collaborate with a team of 10 colleagues and report to the Senior Director of Compliance and Operational Quality, Investment Operations.

The team's mission is diverse, focusing on supervising and fostering a robust compliance culture while serving as experts, particularly regarding regulatory matters in wealth management activities.

Qualifications:

  • Bachelor's degree in a relevant field with 6 years of pertinent experience, or a master's degree with 4 years of relevant experience.
  • Strong understanding of compliance standards associated with asset management.
  • Familiarity with the Act and Regulations concerning the laundering of proceeds of crime and the financing of terrorist activities.
  • Knowledge of securities and investment products.
  • Proficiency in the Microsoft Office suite.
  • Familiarity with registered plans is advantageous.
  • Experience in wealth management is a plus.

Languages:

  • French
  • English

Skills:

  • Analytical Skills
  • Communication
  • Compliance
  • Compliance Controls
  • Interpersonal Skills
  • Investments
  • Prioritization
  • Proactivity
  • Regulatory Activities
  • Regulatory Compliance
  • Resiliency
  • Teamwork
  • Time Management
  • Volatility
  • Uncertainty

Your Benefits:

In addition to competitive remuneration, upon joining, you will have access to a variety of flexible benefits designed to promote your well-being and that of your family.

  • Health and wellness programs with numerous options.
  • Flexible group insurance.
  • Generous pension plan.
  • Employee Share Ownership Plan.
  • Employee and Family Assistance Program.
  • Preferential banking services.
  • Opportunities to engage in community initiatives.
  • Telemedicine services.
  • Virtual sleep clinic.

These are just a few of the benefits available to you. We offer a package that aligns with current trends and meets the needs of you and your family.

Our Commitment to People:

We are a bank that prioritizes a human-centric approach, recognized for our courage, entrepreneurial spirit, and dedication to individuals. Our mission is to positively impact people's lives. Our core values of partnership, agility, and empowerment guide us, with inclusivity at the heart of our commitments. We strive to provide a workplace that is accessible to all employees.

We aim for our recruitment process to be fully inclusive. If you require accommodations, please inform us during your initial discussions. We welcome all candidates. What can you contribute to our team?

Come realize your ambitions with us.