Compliance Supervisor

3 weeks ago


Montreal, Quebec, Canada National Bank Full time

Job Summary:


We are seeking a highly skilled Compliance Supervisor to join our team at National Bank. As a key member of our compliance team, you will be responsible for ensuring that our Private Wealth Advisors and branches comply with internal policies and procedures as well as industry regulatory requirements.


Your Key Responsibilities:



  • Analyze and authorize documentation, new accounts, and updates to client records.
  • Perform transactional monitoring, detect risky situations, and produce diversified and relevant analyses.
  • Act as a point of contact for the conduct of business with Wealth Management Advisors, the Regional Director, and other partners.
  • Ensure the implementation and management of changes, documentation, monitoring, and control of policies, standards, and procedures related to the monitoring and conduct of business.
  • Produce recommendations to improve current processes and increase their efficiency.
  • Train and sensitize our sales force to requirements (existing and new) as well as emerging risks.

About the Team:


As a member of our Commercial Banking & Private Banking sector, you will be part of a team of 13 colleagues and report to the Senior Manager of Administration & Performance Measure | Risk and Operational Quality. Our team stands out for its quality of advisory role and regulatory expertise.


Prerequisites:



  • Bachelor's degree completed in a related discipline (Finance, Law, Accounting, or Economics)
  • 5 to 6 years of experience in the security industry
  • Demonstrate successful completion of the following relevant courses, including a current registration with OCRI: Securities Course, Conduct and Practices Manual Course, Securities Dealer Supervisor Course
  • Successful completion and registration on Financial Planning is an asset and will be an integral part required within 18 months.
  • Ability to communicate effectively, verbally and in writing, to provide advice and recommendations to our partners.
  • Ability to work under pressure and on multiple files, dynamic and have an interest in learning.
  • Ease with day-to-day operational activities.
  • Ability to promote ethical conduct aligned with the organization's values.
  • Strong sense of collaboration
  • Rigorous, analytical, and agile
  • Bilingualism (spoken/written) French and English, essential.

Languages:


French


Skills:


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


Your Benefits:


Competitive compensation, health and wellness program, flexible group insurance, generous pension plan, employee share ownership plan, employee and family assistance program, preferential banking services, opportunities to get involved in community initiatives, telemedicine service, virtual sleep clinic


About Us:


We are a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on people's lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments.


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