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Senior Compliance Operations Advisor

3 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 affairs. In this capacity, you will leverage your knowledge to shape the compliance culture and suggest enhancements to continuously refine our practices, ensuring that regulatory mandates are effectively integrated while contributing to the evolution of our organization.

Your Responsibilities:

  • Oversee the implementation of compliance policies across supported sectors through projects, assessments, or specific cases.
  • Address regulatory inquiries from supported teams and provide determinations for particular situations.
  • Facilitate process modifications related to compliance with supported teams if a specific decision may impact future procedures.
  • Comprehend business challenges, recognize stakeholder requirements, and propose innovative solutions.
  • Engage in partner-compliance committees.
  • Enhance the mastery and comprehension of compliance obligations among investment operations personnel.
  • Exhibit a high degree of influence with partners in determining solutions.
  • Assist in documenting and maintaining current documentation of standards and requirements pertinent to the sector.
  • Offer recommendations during the implementation of new processes to ensure effective operationalization of regulatory mandates.
  • Support teams during 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, aiming to oversee and foster a robust compliance culture while serving as experts, particularly in regulatory matters governing wealth management activities.

Qualifications:

  • A completed bachelor's degree related to the field of activity, accompanied by 6 years of relevant experience, or a completed master's degree in a related field 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.
  • Understanding of registered plans is an asset.
  • Experience in wealth management is an asset.

Languages:

  • French
  • English

Reason for language requirement: Frequent discussions with service providers or partners who communicate in languages other than French.

Skills Required
  • 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 compensation, upon hiring, you will be eligible for a comprehensive 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 promote a positive employee experience. We actively consider employees' suggestions. Through our surveys or programs, regular feedback and ongoing communication are encouraged.

Our Commitment to People:

We are a bank that values a human-centric approach, distinguished by our courage, entrepreneurial spirit, and dedication to people. Our mission is to positively impact individuals' lives. Our core values of partnership, agility, and empowerment guide us, and inclusivity is central to our commitments. We provide 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. What can you contribute to our team?

Come realize your ambitions with us.