Senior Compliance Advisor

1 month ago

Montreal, Quebec, Canada National Bank Full time
Job Title: Senior Advisor Wealth Management Compliance

As a Senior Advisor in the Wealth Management Compliance team at National Bank, you will play a key role in ensuring the bank's compliance with regulatory requirements and industry best practices. Your expertise will be instrumental in implementing and evolving the bank's compliance program, leading new projects, and influencing decision-making.

Your Responsibilities:
  • Oversee compliance with regulatory frameworks, including securities laws and regulations, anti-money laundering and terrorist financing laws, and internal policies and procedures.
  • Provide compliance advice during product design, project delivery, and complex file management, influencing decision-making.
  • Conduct supervision activities, improve work methods, and develop supervision tools to optimize the compliance program.
  • Ensure the implementation of regulatory projects affecting Wealth Management.
  • Communicate with regulators and respond to inquiries in collaboration with internal partners.
  • Recommend and implement changes to policies and procedures based on changing regulations and sector needs.
Your Team:

You will be part of a team of three colleagues, reporting to the Senior Director, Compliance. Our team is known for its expertise, rigor, and commitment to excellence, with close relationships with business sectors.

Prerequisites:
  • A university degree related to the industry and ten years of relevant experience.
  • Relevant experience in compliance or risk management.
  • Experience in an advisory role.
  • Very good knowledge of investment products and investment management.
  • Very good knowledge of securities regulation.
Language:

English and French are required, with a need to collaborate with regulators and authorities outside Quebec.

Skills:

Communication, Compliance, Compliance controls, Diversity & Inclusion, Empathy, Initiative, Investments, Investments products for individuals, Leadership, Learning Agility, Legal, Regulatory Compliance, Regulatory activities, Resiliency, Risk and Compliance, Reporting, Teamwork.Your Benefits:

In addition to competitive compensation, you will be eligible for a wide range of flexible benefits to promote your wellbeing and that of your family, including health and wellness programs, flexible group insurance, a generous pension plan, and employee share ownership plan.

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