Compliance Expert for Wealth Management

4 days ago

Montreal, Quebec, Canada National Bank Full time

As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you'll play a pivotal role in safeguarding investors, portfolio managers and other sector stakeholders.

Your key responsibilities

  • Identify high-risk situations and conduct thorough analyses to mitigate potential threats
  • Serve as a resource person on portfolio manager oversight, providing expert guidance and support
  • Develop and maintain an adequate oversight framework to ensure compliance with regulatory requirements
  • Collaborate with colleagues to enhance our practices and address present and future risks
  • Draft, implement, document, monitor, and control oversight-related policies, standards, and procedures, making recommendations to automate and improve existing processes
  • Promote the Bank's interests through active participation in committees or special projects that require specialized expertise

Requirements

  • Bachelor's degree in a relevant field and 3-4 years of experience in the securities industry, with excellent product knowledge
  • Successful completion of relevant courses, including the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH) and Investment Dealer Supervisors Course (IDSC)
  • A designation such as CIM (CSI) or CFA Level 1 is highly desirable
  • Excellent communication skills, both verbal and written, to provide advice to internal partners
  • Ability to deliver quick and efficient service

Compensation and Benefits

You will receive a competitive salary, estimated to be around $90,000 per year, depending on your location and experience. In addition to this, you will be eligible for a wide range of benefits, including:

  • Health and wellness program
  • Flexible group insurance
  • Generous pension plan
  • Employee Share Ownership Plan
  • Employee and Family Assistance Program
  • Preferential banking services
  • Opportunities to get involved in community initiatives
  • Telemedicine service
  • Virtual sleep clinic

About National Bank

We are a bank that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on people's lives. We offer a barrier-free workplace that is accessible to all employees and welcome candidates from diverse backgrounds.

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