Expert Advisor in Risk and Compliance Management

4 weeks ago

Toronto, Ontario, Canada NBC Full time

Area of Interest: Risk Management

*** Candidates may be located in various regions ***

As a Senior Risk and Regulatory Advisor, you will possess a profound understanding of compliance with regulations, operational risk, and the financial services sector. Your role will involve overseeing new initiatives and projects to ensure that the National Bank Independent Network (NBIN) adheres to relevant regulations and best practices in risk management. You will contribute to fostering a robust risk management culture within NBIN and provide expert support in regulatory compliance and operational risk for our Investment Banking (IB), Portfolio Management (PM), and Investment Fund Management (IFM) divisions.

Your Responsibilities:

  • Actively participate in the leadership team to establish objectives and assist the Risk & Regulatory team in meeting its goals.
  • Analyze documentation from regulatory authorities both within Canada (CIRO, OSC, CSA) and internationally (FINRA, SEC, UK); as well as from industry associations (IIAC, PMAC), legal firms, and consulting agencies.
  • Develop a comprehensive understanding of new and proposed regulations to evaluate their impact and aid in the preparation of position papers and comment letters.
  • Provide internal support as a Subject Matter Expert in the execution of new regulatory initiatives.
  • Contribute to the creation of a value-added regulatory service for NBIN Client firms, including the development of monthly bulletins and quarterly webinars.
  • Proactively cultivate and maintain positive relationships between the Risk Department and key stakeholders such as Legal, Compliance, and industry groups like PMAC and IIAC.
  • Serve as a subject matter expert on regulatory compliance issues, including Privacy, Anti-Money Laundering (AML), CIRO, and CSA regulations.
  • Assist in managing departmental projects; lead various initiatives necessary to achieve our objectives and enhance processes within the team and NBIN.
  • Support the development and documentation of policies and procedures related to operations within NBIN to ensure compliance with regulatory standards.

Your Team:

The National Bank Independent Network (NBIN) operates as a division of National Bank Financial (NBF), a wholly owned subsidiary of National Bank of Canada (NBC). NBIN stands as the leading provider of carrying broker, trading, and custodial services to CIRO registered Introducing Broker (IB) firms, Portfolio Management (PM), Prime Brokerage (PB), and Investment Fund Management (IFM) firms across Canada.

Prerequisites:

  • Bachelor's degree in a relevant field and over 7 years of pertinent experience.
  • Extensive knowledge of the regulatory landscape in the financial services industry.
  • A proven ability to enhance efficiency, optimize processes, and deliver exceptional value.
  • Strong analytical, problem-solving, and presentation capabilities.
  • Ability to work autonomously as well as collaboratively within a team.
  • Excellent communication skills in English; proficiency in French is an asset.
Skills

Communication, Diversity & Inclusion, Empathy, Initiative, Learning Agility, Resilience, Teamwork

Your Benefits

In addition to competitive compensation, upon joining, you will have access to a diverse range of flexible benefits aimed at promoting your well-being and that of your family.

  • Health and wellness program 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 dynamic work environments and advanced collaboration tools foster a positive employee experience. We value employee feedback and encourage ongoing communication through surveys and programs.

We're Putting People First:

We are a bank that prioritizes human connection, distinguished by our courage, entrepreneurial spirit, and commitment to people. Our mission is to positively impact lives. Our core values of partnership, agility, and empowerment guide us, with inclusivity at the heart of our commitments. We strive to maintain a barrier-free workplace accessible to all employees.

We aim for our recruitment process to be fully accessible. If you require accommodations, please inform us during your initial conversations. We welcome all candidates to bring their unique contributions to our team.

Come live your ambitions with us.

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