Compliance Manager

2 weeks ago

Montreal, Quebec, Canada NBC Full time
Compliance Supervisor Job Description

At NBC, we're seeking a highly skilled Compliance Supervisor to join our team. As a key member of our Compliance Services Team, you'll play a vital role in managing centralized approvals nationwide and providing critical support to regional Compliance Supervisors during their absences.

This role involves conducting daily supervision, handling regulatory approvals, and aiding in the region's compliance efforts to ensure that all Wealth Advisors and branches adhere to the firm's policies and procedures, as well as industry regulatory standards. Additionally, the NBF Compliance Services Team is responsible for carrying out routine supervision to maintain adherence to our regulatory commitments.

Key Responsibilities:
  • Oversee client communications, including reviewing and approving advertising materials, social media activities, and content in microsites.
  • Centralized review and approvals addressing various regulatory and operational risks.
  • Replace regional compliance supervisors, including approving KYC documentation, managing regional queries, and daily review of transactional activity.
  • Detect potentially risky situations, quickly alert regional directors and regional compliance supervisors, and recommend necessary corrective actions.
  • Conduct weekly and monthly supervisions, including approval of outside activities of registered persons, review of financial plans, and surveillance of tools used for exchanging client documents.
Requirements:
  • University degree in a related field and 3 years' relevant experience.
  • A minimum of 2 years at a securities dealer acquiring extensive knowledge of investment products, the financial markets, regulatory, and internal environment.
  • Licensed as an Investment Representative (IR) or Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO).
  • Successful completion of the Investment Dealer Supervisors Course (IDSC) or obtain it within 3 months of hiring.
  • Strong organizational skills, time management, ability to multi-task, and adapt to a rapidly changing environment.
Language Requirements:

We require proficiency in both English and French, as you will need to serve clients who speak a language other than French regularly.

Skills:
  • Communication
  • Compliance
  • Compliance Management
  • Diversity & Inclusion
  • Empathy
  • Initiative
  • Investments
  • Learning Agility
  • Resiliency
  • Risk and Compliance Reporting
  • Securities Regulation
  • Surveillance
  • Teamwork
Benefits:

In addition to competitive compensation, you'll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family. These include a health and wellness program, flexible group insurance, a generous pension plan, employee share ownership plan, employee and family assistance program, preferential banking services, opportunities to get involved in community initiatives, telemedicine service, and virtual sleep clinic.

We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on people's lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments. We offer a barrier-free workplace that is accessible to all employees.

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