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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 becoming a specialist in regulatory affairs. In this capacity, you will leverage your knowledge to shape the compliance culture and recommend enhancements to our practices, ensuring that regulatory obligations are effectively integrated while contributing to the evolution of our organization.

Your Responsibilities:

  • Oversee the enforcement of compliance policies in the supported sectors through projects, reviews, or specific cases.
  • Address regulatory inquiries from supported teams and provide determinations for individual cases.
  • Facilitate process modifications related to compliance with supported teams if a specific ruling could impact future procedures.
  • Comprehend business challenges, identify stakeholder requirements, and propose innovative approaches.
  • Engage in partner-compliance committees.
  • Enhance the understanding of compliance obligations among investment operations personnel.
  • Exhibit a high degree of influence with partners in determining solutions.
  • Assist in documenting and maintaining current standards and requirements applicable to the sector.
  • Offer recommendations during the implementation of new processes to ensure effective operationalization of regulatory mandates.
  • Support teams during audits.

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 and serving as an expert, particularly regarding regulatory matters governing wealth management activities.

Qualifications:

  • A completed bachelor's degree related to the field and 6 years of relevant experience, or a completed master's degree related to the field and 4 years of relevant experience.
  • Strong understanding of compliance standards pertinent to 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 advantageous.

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 compensation, upon hiring, you will be eligible for a comprehensive range of flexible benefits designed to enhance 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 Commitment:

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 being 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.