Compliance Expert

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 Support: 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 Understanding: 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

  • Compliance Expert

    1 month ago

    Montreal, Quebec, Canada National Bank Full time

    Lead Advisor in Compliance ProgramsA career as a Lead Advisor in the Compliance Programs team at National Bank means actively participating in sound risk management and the development of the Anti-Money Laundering and Terrorist Financing (PCMLTF) Compliance program. You will act as a compliance expert to ensure the Bank's compliance with regulatory...

  • Compliance Expert

    4 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    Lead Advisor in Compliance ProgramsA career as a Lead Advisor in the Compliance Programs team at National Bank means actively participating in sound risk management and the development of the Anti-Money Laundering and Terrorist Financing (PCMLTF) Compliance program. You will act as a compliance expert to ensure the Bank's compliance with regulatory...

  • Compliance Expert

    3 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    Lead Advisor in Compliance ProgramsA career at National Bank means actively participating in sound risk management and the development of the Anti-Money Laundering and Terrorist Financing (PCMLTF) Compliance program.You will act as a compliance expert to ensure the Bank's compliance with regulatory requirements and industry standards.Key...

  • Compliance Expert

    3 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    Lead Advisor in Compliance ProgramsA career at National Bank means actively participating in sound risk management and the development of the Anti-Money Laundering and Terrorist Financing (PCMLTF) Compliance program.You will act as a compliance expert to ensure the Bank's compliance with regulatory requirements and industry standards.Key...

  • Compliance Expert

    1 month ago

    Montreal, Quebec, Canada beBee Professionals Full time

    BeBee Professionals is seeking a Compliance Consultant to support the organization in ensuring compliance with applicable laws and regulations. The ideal candidate will have a strong understanding of regulatory requirements and be able to provide expert advice and guidance to the team. Key responsibilities include: * Providing compliance advice and support...

  • Compliance Expert

    1 month ago

    Montreal, Quebec, Canada beBee Professionals Full time

    BeBee Professionals is seeking a Compliance Consultant to support the organization in ensuring compliance with applicable laws and regulations. The ideal candidate will have a strong understanding of regulatory requirements and be able to provide expert advice and guidance to the team. Key responsibilities include: * Providing compliance advice and support...

  • Compliance Expert

    2 months ago

    Montreal, Quebec, Canada beBee Professionals Full time

    Compliance Consultant OpportunityWe are seeking a highly skilled Compliance Consultant to support our organization in Montreal. The successful candidate will provide expert advice and guidance on compliance matters, ensuring that all activities align with applicable laws and regulations.Key Responsibilities:Provide compliance advice and support to the...

  • Compliance Expert

    2 months ago

    Montreal, Quebec, Canada beBee Professionals Full time

    Compliance Consultant OpportunityWe are seeking a highly skilled Compliance Consultant to support our organization in Montreal. The successful candidate will provide expert advice and guidance on compliance matters, ensuring that all activities align with applicable laws and regulations.Key Responsibilities:Provide compliance advice and support to the...

  • Senior Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleWe are seeking a highly skilled Senior Compliance Expert to join our Compliance Programs team at National Bank.Key ResponsibilitiesAct as a compliance expert to ensure the Bank's adherence to Anti-Money Laundering and Terrorist Financing (PCMLTF) regulations.Participate in sound risk management and contribute to the development of the...

  • Senior Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleWe are seeking a highly skilled Senior Compliance Expert to join our Compliance Programs team at National Bank.Key ResponsibilitiesAct as a compliance expert to ensure the Bank's adherence to Anti-Money Laundering and Terrorist Financing (PCMLTF) regulations.Participate in sound risk management and contribute to the development of the...

  • Senior Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job Title: Senior Compliance AdvisorAs a Senior Advisor, you will play a key role in ensuring the Bank's compliance with regulations. You will provide expert guidance and support to compliance partners on regulatory compliance matters, and be an integral part of a dynamic team where the work is stimulating and diverse.Key Responsibilities:Provide expert...

  • Senior Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job Title: Senior Compliance AdvisorAs a Senior Advisor, you will play a key role in ensuring the Bank's compliance with regulations. You will provide expert guidance and support to compliance partners on regulatory compliance matters, and be an integral part of a dynamic team where the work is stimulating and diverse.Key Responsibilities:Provide expert...

  • Regulatory Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team at National Bank.Key Responsibilities:Act as an expert in regulatory compliance and wealth managementProvide guidance and support to the organization on regulatory mattersStay up-to-date with changing regulations and ensure complianceCollaborate with cross-functional...

  • Regulatory Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team at National Bank.Key Responsibilities:Act as an expert in regulatory compliance and wealth managementProvide guidance and support to the organization on regulatory mattersStay up-to-date with changing regulations and ensure complianceCollaborate with cross-functional...

  • Senior Compliance Expert

    1 month ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job Title: Senior Compliance AdvisorAs a Senior Advisor, you will play a critical role in ensuring the Bank's compliance with regulations. Your expertise will be essential in providing support to compliance partners on regulatory compliance questions and being an integral part of a dynamic team where the work is stimulating and diverse.Key...

  • Senior Compliance Expert

    1 month ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job SummaryAs a Senior Compliance Advisor at Banque Nationale du Canada, you will play a critical role in ensuring the Bank's compliance with regulations. Your expertise will be essential in providing support to compliance partners on regulatory compliance questions and being an integral part of a dynamic team where the work is stimulating and diverse.Key...

  • Senior Compliance Expert

    1 month ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job SummaryAs a Senior Compliance Advisor at Banque Nationale du Canada, you will play a critical role in ensuring the Bank's compliance with regulations. Your expertise will be essential in providing support to compliance partners on regulatory compliance questions and being an integral part of a dynamic team where the work is stimulating and diverse.Key...

  • Senior Compliance Expert

    1 month ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job Title: Senior Compliance AdvisorAs a Senior Advisor, you will play a critical role in ensuring the Bank's compliance with regulations. Your expertise will be essential in providing support to compliance partners on regulatory compliance questions and being an integral part of a dynamic team where the work is stimulating and diverse.Key...

  • Regulatory Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleA career as a Regulatory Compliance Expert in the Compliance team at National Bank means acting as an expert in regulatory compliance and wealth management. This role allows you to have a positive impact in our organization through your expertise and strong interest in wealth management.Key ResponsibilitiesMaintain Regulatory Obligations and...

  • Regulatory Compliance Expert

    2 months ago

    Montreal, Quebec, Canada National Bank Full time

    About the RoleA career as a Regulatory Compliance Expert in the Compliance team at National Bank means acting as an expert in regulatory compliance and wealth management. This role allows you to have a positive impact in our organization through your expertise and strong interest in wealth management.Key ResponsibilitiesMaintain Regulatory Obligations and...