Compliance Operations Specialist

4 weeks ago

Montreal, Quebec, Canada National Bank Full time

A successful candidate for this Compliance Operations Specialist - Regulatory Expert role will serve as a key resource for compliance activities associated with our national network, ensuring 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, upholding the highest standards of accuracy and compliance.
  • Perform transactional monitoring, detect risky situations, and produce diversified and relevant analyses to inform strategic decisions.
  • Act as a point of contact for the conduct of business with Wealth Management Advisors, the Regional Director, and other partners, fostering strong relationships and effective communication.
  • Ensure the implementation and management of changes, documentation, monitoring, and control of policies, standards, and procedures related to the monitoring and conduct of business, driving process improvements and efficiency.
  • Train and sensitize our sales force to requirements (existing and new) as well as emerging risks, promoting a culture of compliance and risk awareness.

Team Overview:

As a member of our Commercial Banking & Private Banking team, you will be part of a dynamic group of 13 colleagues, reporting to the Senior Manager of Administration & Performance Measure | Risk and Operational Quality. Our team stands out for its quality advisory role and regulatory expertise, making a tangible impact on the organization.

Career Development:

Our learning-in-action training programs will allow you to master your craft, with customized training content on topics such as new regulatory requirements. You will have access to colleagues with diverse expertise, experience, and profiles, enriching your development from all angles.

Requirements:

  • Bachelor's degree completed in a related discipline (Finance, Law, Accounting, or Economics)
  • 5-6 years of experience in the security industry, with a proven track record of success
  • Demonstrate successful completion of relevant courses, including a current registration with OCRI: Securities Course, Conduct and Practices Manual Course, Securities Dealer Supervisor Course
  • Financial Planning registration is an asset and will be a requirement within 18 months
  • Ability to communicate effectively, verbally and in writing, to provide advice and recommendations to partners
  • Ability to work under pressure and on multiple files, with a dynamic and adaptable approach
  • Strong sense of collaboration, with a focus on teamwork and partnership
  • Rigorous, analytical, and agile, with a passion for learning and growth
  • Bilingualism (spoken/written) French and English, essential

Salary:

The estimated annual salary for this role is around $85,000 to $120,000, depending on experience and qualifications.

Benefits:

  • Competitive compensation and benefits package
  • Flexible group insurance and generous pension plan
  • Employee Share Ownership Plan and Employee and Family Assistance Program
  • Preferential banking services and opportunities for community involvement

At National Bank, we prioritize employee well-being and offer a range of benefits to support your physical, mental, and financial health. Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience, and we actively listen to employees' ideas to drive continuous improvement.

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