Compliance Specialist in Financial Services

1 day ago


Montreal, Quebec, Canada Natixis Corporate & Investment Banking Full time
Job Overview:
Natixis Corporate & Investment Banking seeks a seasoned Compliance Specialist to oversee and manage the compliance support and guidance for its operations in Canada. This role requires a strong understanding of Canadian regulatory requirements, particularly those related to lending branches, securities, and derivatives.

Key Responsibilities:
- Provide actionable advice and insights on both domestic and cross-border activities across all business lines, including lending, derivatives, and securities.
- Develop and implement a robust Compliance Program for Natixis Canada Branch, focusing on anti-money laundering and government sanctions, information barriers, cross-border trading and sales practices, regulatory reporting, and assessment of new regulations impacting operations in Canada and abroad.
- Oversee and manage Compliance support and guidance for the Canada Branch and other Natixis entities operating in Canada, collaborating with Front Office business lines and Support Functions.
- Contribute to the development and preparation of the General Compliance Risk Assessment.
- Prepare the Annual Canada Branch Chief Compliance Officer Opinion and assist in implementing second-level testing and monitoring controls.

Requirements:
- Bachelor's degree in Economics, Finance, Business Management, or a related field; an MBA, JD, or equivalent advanced degree is a plus.
- Over 10 years of compliance experience within a global financial services firm or regulatory agency, with a preference for candidates knowledgeable about foreign bank branches operating in Canada.
- Comprehensive compliance knowledge that meets or exceeds the proficiency requirements for Chief Compliance Officers of Exempt Market Dealer registrants.
- OSFI, OSC, FCAC, AMF) and experience in managing regulatory relationships.
- Proven track record in establishing a comprehensive compliance program within a global financial institution.
Salary: $120,000 - $180,000 per year.

  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    SGS Société Générale de Surveillance SA is seeking a skilled Financial Services Regulatory Compliance Specialist to join our team in Montreal. This role offers a unique opportunity to work in a key area of our Compliance program, interacting with regional and global colleagues within our Capital Market Surveillance department and across various business...


  • Montreal, Quebec, Canada Medavie Full time

    Job OverviewMedavie is seeking a highly skilled Regulatory Compliance Specialist - Financial Services to join our team. As a national health solutions partner, we put people first in everything we do - and that begins with our team of 8,000+ professionals who bring a cross-section of diverse life experiences and career expertise to Medavie.


  • Montreal, Quebec, Canada Natixis Corporate & Investment Banking Full time

    **Job Summary**Natixis Corporate & Investment Banking is seeking a seasoned Compliance Specialist to oversee the development and implementation of a robust compliance program within our Canada Branch. As a key member of our team, you will be responsible for ensuring adherence to local and cross-border regulations, providing actionable advice and insights...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the RoleWe are seeking a highly skilled Financial Regulatory Compliance Specialist to join our team at SGS Société Générale de Surveillance SA in Montreal. As a key member of our Capital Market Surveillance (CMS) team, you will play a vital role in ensuring compliance with applicable policies, industry rules, and regulations.Job SummaryThe selected...


  • Montreal, Quebec, Canada National Bank Full time

    Role OverviewA career as a Financial Service Specialist with National Bank is an opportunity to provide exceptional client service and support in wealth management services. In this role, you will work closely with bankers and private bankers to offer personalized financial solutions to high-net-worth clients.Your responsibilities include:Providing...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    Job Description:We are seeking a Compliance Surveillance Specialist to join our team at SGS Société Générale de Surveillance SA. This role will involve participating in the monitoring of security transactions for compliance with Exchange rules and being involved in regional and global projects aimed at enhancing the Trade Surveillance program.The ideal...


  • Montreal, Quebec, Canada National Bank Full time

    Company OverviewNational Bank is a dynamic institution that prioritizes its employees' well-being and growth. We strive to create an inclusive work environment where everyone feels valued and empowered.Salary: $120,000 - $180,000 per yearJob DescriptionWe are seeking a highly skilled Financial Compliance Specialist to join our team. In this role, you will...


  • Montreal, Quebec, Canada Brain Finance Full time

    About BrainFinanceBrainFinance is a leading financial technology company that offers innovative and responsible credit solutions to consumers. Our mission is to redefine access to credit through the use of machine learning and automation capabilities, providing better and simpler financial services to everyone.We are an innovation labOur team consists of...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    At SGS Société Générale de Surveillance SA, we are seeking an experienced Compliance and Surveillance Specialist to join our team in Montreal. This is a unique opportunity to work with a global team responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.The US...


  • Montreal, Quebec, Canada TD Full time

    About the RoleAre you passionate about delivering exceptional customer experiences and contributing to the growth of a leading financial institution? TD is seeking a highly skilled Senior Financial Services Operations Specialist to join our team. As a key member of our operations team, you will be responsible for ensuring seamless execution of complex...


  • Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Role OverviewWe are seeking a highly skilled Senior Financial Services Specialist to join our team at Banque Nationale du Canada. This is a unique opportunity for an experienced professional to leverage their expertise and make a meaningful impact in the financial services industry.Job DescriptionThe successful candidate will be responsible for providing...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    **About SGS Société Générale de Surveillance SA**We are seeking a highly skilled Regulatory Compliance Risk Specialist to join our team in Montreal. As a key member of our Capital Market Surveillance department, you will play a crucial role in monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry...


  • Montreal, Quebec, Canada Rio Tinto Full time

    Rio Tinto is a global organization that offers a unique opportunity to work in a diverse and dynamic environment.About the RoleWe are seeking a highly skilled Financial Reporting Specialist to join our team, based on a competitive estimated salary of $120,000 per year.As a Financial Reporting Specialist, you will be responsible for delivering high-quality...


  • Montreal, Quebec, Canada BMO Financial Group Full time

    Job OverviewAs a Financial Services Representative at BMO Financial Group, you will play a critical role in providing exceptional customer service and sales support to our clients. This is an exciting opportunity to work with a leading financial institution and contribute to the success of our team.About the RoleThis position involves working as a remote...


  • Montreal, Quebec, Canada QUANTEAM - North America Full time

    About QUANTEAM - North America:We are a consulting firm specializing in Banking, Finance, and Financial Services.Our team of expert consultants collaborates across multiple locations to deliver innovative solutions.We are looking for a Technical Compliance Specialist to join our team at one of our clients, an investment bank in Montreal.Job DescriptionThe...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About SGS Socièté Générale de Surveillance SAWe are a global financial services company with a presence in multiple regions. Our Compliance Department plays a vital role in ensuring that our business activities comply with relevant laws and regulations.Job DescriptionJob SummaryThis is an exciting opportunity to join our team as a Compliance Risk Manager...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the OpportunityWe are seeking a Trade Surveillance Compliance Specialist to join our team in Montreal. This is an exciting opportunity to work in a key area of Société Générale's Compliance program, interacting with regional and global colleagues within CMS and across various business units to mitigate regulatory and reputational risks.The...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About SGS Société Générale de Surveillance SASGS Société Générale de Surveillance SA is a global leader in capital market surveillance, dedicated to ensuring the integrity of financial markets.We are seeking an experienced Financial Surveillance Specialist to join our team in Montreal, where you will play a key role in monitoring security...


  • Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    Compliance is key to our success at SGS Sociète Générale de Surveillance SA. We are seeking a skilled Trade Surveillance Specialist to join our team in Montreal, Canada.About the RoleWe are looking for an experienced professional to support our Trade Surveillance program in ensuring compliance with exchange rules and regulations. The successful candidate...


  • Montreal, Quebec, Canada iA Financial Group Full time

    Job OverviewiA Financial Group is a leading player in the financial services industry, with over $200 billion in assets and half a billion invested in technological innovation. We're committed to supporting our employees and surrounding ourselves with reputable leaders.This role offers an exciting opportunity for a Compliance Sales Director to join our team....