Job Description
As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you’ll be responsible for establishing and maintaining an adequate oversight framework for wealth management. In this role, you’ll have the opportunity to make a positive impact on our organization through your knowledge of wealth management and investment products. You will be able to showcase your skills to play a key role in protecting investors, registered personnel, and other sector stakeholders
Your role
Identify high-risk situations and conduct various analyses
Act as a resource person regarding surveillance, particularly for specialized products such as private pools funds, products issued by offering memorandum, and derivatives.
Ensure an adequate supervision program is maintained while helping to enhance our practices in order to cover present and future risks
Protect investors, registered personnel, and the Risk Management sector.
Oversee the drafting, implementation, documentation, monitoring, and control of oversight-related policies, standards, and procedures. Additionally, provide recommendations to automate and enhance the efficiency of existing processes.
Participate in committees or special projects that require a high level of expertise and represent the Bank in dealings with various organizations, agencies or stakeholders.
Prerequisites
University degree, 4 to 5 years of experience in the securities industry, and good product knowledge
Successful completion of relevant courses, including the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Investment dealer supervisor course (IDSC), The derivatives Fundamentals and Options Licensing (DFOL) and Options supervisor course (OSC).
A designation such as CIM (CSI) or CFA Level 1, an asset
Ability to communicate effectively, both verbally and in writing, to provide advice to internal partners
Ability to provide quick and efficient service
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!
Your role
Identify high-risk situations and conduct various analyses
Act as a resource person regarding surveillance, particularly for specialized products such as private pools funds, products issued by offering memorandum, and derivatives.
Ensure an adequate supervision program is maintained while helping to enhance our practices in order to cover present and future risks
Protect investors, registered personnel, and the Risk Management sector.
Oversee the drafting, implementation, documentation, monitoring, and control of oversight-related policies, standards, and procedures. Additionally, provide recommendations to automate and enhance the efficiency of existing processes.
Participate in committees or special projects that require a high level of expertise and represent the Bank in dealings with various organizations, agencies or stakeholders.
Prerequisites
University degree, 4 to 5 years of experience in the securities industry, and good product knowledge
Successful completion of relevant courses, including the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Investment dealer supervisor course (IDSC), The derivatives Fundamentals and Options Licensing (DFOL) and Options supervisor course (OSC).
A designation such as CIM (CSI) or CFA Level 1, an asset
Ability to communicate effectively, both verbally and in writing, to provide advice to internal partners
Ability to provide quick and efficient service
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!
💡 Quick Summary
Seeking a career-building opportunity? The Senior Compliance Advisor position is now open for candidates interested in the Bank Jobs sector. This role in Montréal offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.