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Compliance Supervisor
2 weeks ago
In this role, a career as a Compliance Supervisor at National Bank Financial Wealth Management is to act as the key resource in overseeing the Edmonton region's compliance activities to ensure that all Wealth Advisors (WA's) and branches respect and comply with the various firm policies and procedures as established by NBFWM's Compliance Department as well as any industry regulatory requirements.
**Your job**
- Act as the Compliance liaison, for the Edmonton region, for the internal partners (Regional Manager, WA's, Wealth Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)
- Complete regulatory supervision requirements
- Approval of documentation, including new accounts and client file updates, while ensuring compliance
- Approval of compliance activities as required by policy, procedure and regulation
- Manage Regulatory Risks of the region
- Identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
- Meet with Wealth Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist them
- Understand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of files
- Influence orientations in the area compliance and ensure the commitment of all parties involved
**Prerequisite**
- Bachelor degree in a related field and 6 years' relevant experience or completed Master's degree in a related field and 4 years' relevant experience
- A minimum of 2 years at a securities dealer acquiring extensive knowledge of various investment products, the financial markets, regulatory and internal environment
- Licensed as a Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
- Successful completion of the Investment Dealer Supervisors Course (IDSC) and become Supervisor licensed within 3 months of employment
- Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
- Proficient knowledge of the following systems: MS Office, ISM_T80, Creosus, Secured Zone
**Your benefits** In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.
- Health and wellness program, including many options
- Flexible group insurance
- Generous pension plan
- Employee Share Ownership Plan
- Employee and Family Assistance Program
- Preferential banking services
- Initiatives promoting community involvement
- Telemedicine service
- Virtual sleep clinic
