Senior Advisor Operational Compliance

Area of Interest: Operations

A career as Senior Advisor Operational Compliance in the Investment Operations team at National Bank means being an expert in regulatory matters. In this role you will use your expertise to influence the compliance culture and propose solutions to continuously improve our practices and ensure that regulatory requirements are operationalized while participating in the transformation of our organization.

Your role: 

• Ensure the application of compliance policies in the sectors supported via projects, revisions or specific cases
• Answer regulatory questions from supported teams and formulate decisions for specific cases
• Lead a process change related to compliance with supported teams if a specific decision could influence future processes
• Understand business issues, identify stakeholder needs and propose innovative strategies
• Participate in partner-compliance committees
• Contribute to the mastery and understanding of compliance obligations by investment operations employees
• Demonstrate a high level of influence with partners in determining solutions
• Contribute to documenting and maintaining up-to-date documentation of standards and requirements applicable to the sector
• Make recommendations when implementing new processes to ensure effective operationalization of regulatory requirements
• Support teams during audits

Your 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. It aims, among other things, to supervise and promote a healthy compliance culture and act as an expert, particularly for matters of a regulatory nature governing wealth management activities.

Prerequisites:

• 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

Languages:

• 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. Skills

Analytical Skills Communication Compliance Compliance controls Interpersonal Skills Investments Prioritization Proactivity Regulatory activities Regulatory Compliance Resiliency Teamwork Time Management Volatility uncertainty 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
• Opportunities to get involved in community initiatives
• Telemedicine service
• Virtual sleep clinic

These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family. 
Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged. We're putting people first:

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 peoples' 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. 
We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us. We welcome all candidates What can you bring to our team?
Come live your ambitions with us

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