Compliance Officer
1 week ago
We are seeking a highly skilled Compliance Supervisor to join our team at National Bank. As a key member of our compliance team, you will play a critical role in ensuring that our Private Wealth Advisors and branches adhere to internal policies and procedures, as well as industry regulatory requirements.
Key Responsibilities- Analyze and authorize documentation, new accounts, and updates to client records, ensuring compliance with regulatory requirements.
- Perform transactional monitoring, detect potential risks, and provide insightful analyses to inform business decisions.
- Act as a point of contact for Wealth Management Advisors, Regional Directors, and other partners, providing guidance and support on compliance matters.
- Develop and implement policies, standards, and procedures to ensure effective monitoring and control of business conduct, and provide recommendations for process improvements.
- Train and educate our sales force on regulatory requirements and emerging risks, ensuring they have the necessary knowledge and skills to operate effectively.
You will be part of a dynamic team of 13 colleagues in the Commercial Banking & Private Banking sector, reporting to the Senior Manager of Administration & Performance Measure | Risk and Operational Quality. Our team is known for its expertise in advisory roles and regulatory matters.
We offer a range of training programs, including learning-in-action initiatives, to help you develop your skills and expertise. You will also have access to colleagues with diverse backgrounds and expertise, enriching your professional development.
Requirements- Bachelor's degree in a related field (Finance, Law, Accounting, or Economics)
- 5-6 years of experience in the financial industry
- Relevant certifications, including the Securities Course, Conduct and Practices Manual Course, and Securities Dealer Supervisor Course
- Ability to communicate effectively, both verbally and in writing, to provide advice and recommendations to partners
- Strong analytical and problem-solving skills, with the ability to work under pressure and manage multiple files
- Ability to promote ethical conduct and adhere to our organization's values
- Strong sense of collaboration and teamwork
- Rigorous, analytical, and agile mindset
- Bilingualism (spoken and written) in French and English, essential
- Competitive compensation package
- Flexible benefits, including health and wellness programs, group insurance, and pension plans
- Employee Share Ownership Plan and Employee and Family Assistance Program
- Preferential banking services and opportunities to participate in community initiatives
- Telemedicine service and virtual sleep clinic
We are committed to creating a barrier-free workplace that is accessible to all employees. If you require accommodation during the recruitment process, please let us know.
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