Regulatory Affairs Specialist

3 weeks ago


Montreal, Quebec, Canada NBC Full time
About the Role

This position is responsible for ensuring the application of compliance policies and regulatory requirements in the sectors supported by the team. The ideal candidate will have a strong understanding of regulatory matters and be able to influence the compliance culture within the organization.

Key responsibilities include:

  • Ensuring the application of compliance policies in the sectors supported
  • Providing regulatory guidance to supported teams and formulating decisions for specific cases
  • Leading process changes related to compliance with supported teams
  • Understanding business issues, identifying stakeholder needs, and proposing innovative strategies
  • Participating in partner-compliance committees
  • Contributing to the mastery and understanding of compliance obligations by investment operations employees
  • Demonstrating a high level of influence with partners in determining solutions
  • Contributing to documenting and maintaining up-to-date documentation of standards and requirements applicable to the sector
  • Making recommendations when implementing new processes to ensure effective operationalization of regulatory requirements
  • Supporting teams during audits

About the Team

You will be part of a team of 10 colleagues and report to the Senior Director of Compliance and Operational Quality, Investment Operations. The team's mandate is varied, including supervising and promoting a healthy compliance culture and acting as an expert, particularly for matters of a regulatory nature governing wealth management activities.

Prerequisites:

  • Completed bachelor's degree, related to the sector of activity, and 6 years of relevant experience or completed master's degree, related to the sector of activity, and 4 years of relevant experience
  • Good knowledge of compliance standards related to asset management
  • Good knowledge of the Act and Regulations respecting the laundering of proceeds of crime and the financing of terrorist activities
  • Knowledge of securities and investment products
  • Knowledge of the Microsoft Office suite
  • Knowledge of registered plans, an asset
  • Experience in wealth management, an asset


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