Senior Risk and Compliance Advisor

3 weeks ago

Toronto, Ontario, Canada NBC Full time

Area of Focus: Risk Management

*** Candidates may be located in either Toronto or Montreal ***

As a Senior Risk and Regulatory Advisor, you will possess a profound expertise in regulatory adherence, operational risk, and the financial services sector. Your role will involve overseeing new initiatives and projects to ensure that National Bank Independent Network (NBIN) aligns with relevant regulations and risk management best practices. You will contribute to fostering a constructive risk management culture within NBIN and serve as a specialist in regulatory compliance and operational risk for our Investment Banking, Portfolio Management, and Investment Fund Management firms.

Your Responsibilities:

  • Actively participate in the leadership team to establish objectives and assist the Risk & Regulatory team in fulfilling its goals.
  • Examine documentation from regulatory authorities both within Canada and internationally, including CIRO, OSC, CSA, FINRA, SEC, and UK, as well as industry associations and legal firms.
  • Develop a comprehensive understanding of emerging and proposed regulations to evaluate their impact and aid in drafting position papers and comment letters.
  • Provide internal expertise 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 updates and quarterly webinars.
  • Proactively cultivate and maintain positive relationships between the Risk Department and other stakeholders, including Legal, Compliance, and industry organizations.
  • Serve as a subject matter expert on regulatory compliance topics such as Privacy, Anti-Money Laundering, and CIRO and CSA regulations.
  • Assist in managing departmental projects; lead various initiatives aimed at achieving our objectives and enhancing 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:

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 is recognized as the leading provider of carrying broker, trading, and custodial services to CIRO registered Introducing Broker firms, Portfolio Management, Prime Brokerage, and Investment Fund Management firms across Canada.

Qualifications:

  • Bachelor's degree in a relevant field with over 7 years of pertinent experience.
  • In-depth knowledge of the regulatory landscape within the financial services industry.
  • Adept at enhancing efficiency, optimizing processes, and delivering added value in routine responsibilities.
  • Strong analytical, problem-solving, and presentation capabilities.
  • Ability to work autonomously as well as collaboratively within a team setting.
  • Excellent communication skills in English; proficiency in French is an asset.
Core Competencies

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

Your Benefits

In addition to competitive compensation, upon joining, you will have access to a comprehensive range of flexible benefits designed to promote your well-being and that of your family:

  • Health and wellness programs with various options.
  • Flexible group insurance plans.
  • Generous pension scheme.
  • 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 environment and advanced collaboration tools foster a positive employee experience. We actively seek and value employee feedback through surveys and programs, encouraging ongoing communication.

Our Commitment to People:

We are a bank that prioritizes a human-centered approach, distinguished by our courage, entrepreneurial spirit, and dedication 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 explore what they can bring to our team.

Join us in realizing your ambitions.

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