Compliance Specialist

4 weeks ago

Montreal, Quebec, Canada NBC Full time
About the Role

We are seeking a highly skilled Senior Advisor Operational Compliance to join our Investment Operations team at NBC. As a key member of our team, you will play a critical role in ensuring the effective operationalization of regulatory requirements and promoting a healthy compliance culture.

Key Responsibilities
  • Compliance Policy Implementation: Ensure the application of compliance policies in the sectors supported via projects, revisions, or specific cases.
  • Regulatory Guidance: Answer regulatory questions from supported teams and formulate decisions for specific cases.
  • Process Change Leadership: Lead a process change related to compliance with supported teams if a specific decision could influence future processes.
  • Business Analysis: Understand business issues, identify stakeholder needs, and propose innovative strategies.
  • Partner-Compliance Committees: Participate in partner-compliance committees.
  • Compliance Obligations: Contribute to the mastery and understanding of compliance obligations by investment operations employees.
  • Influencing Partners: Demonstrate a high level of influence with partners in determining solutions.
  • Documentation and Maintenance: Contribute to documenting and maintaining up-to-date documentation of standards and requirements applicable to the sector.
  • Process Implementation: Make recommendations when implementing new processes to ensure effective operationalization of regulatory requirements.
  • Audit Support: Support 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, aiming to supervise and promote a healthy compliance culture and act as an expert, particularly for matters of a regulatory nature governing wealth management activities.

Requirements
  • 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.
Language Requirements

Language: French

Language: English

Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French

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