Compliance Supervisor
4 weeks ago
Job Title: Compliance Supervisor
Job Summary:
We are seeking a highly skilled Compliance Supervisor to join our team at National Bank. As a Compliance Supervisor, 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.
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:
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.
Requirements:
- 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.
What We Offer:
In addition to competitive compensation, upon hiring you'll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.
Our Culture:
We're 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 peoples' lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments.
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