Senior Advisor Compliance

A career as a Senior Advisor within the Compliance team at National Bank Financial means contributing to maintaining an adequate oversight framework for wealth management. Joining our team allows you to grow in a dynamic and constantly evolving environment. This role enables you to have a positive impact on our organization through your ability to identify inherent risks and associated mitigating factors within the industry.

Your role

• Detect high-risk situations, conduct various analyses, promptly alert regional directors and compliance supervisors, and ensure the necessary corrective actions are implemented in their region.
• Act as a key resource for surveillance matters, particularly for compliance supervisors, regional directors, and other partners.
• Maintain an adequate monitoring program while helping evolve our practices to address current and future risks.
• Ensure the protection of investors, investment advisors, and registered personnel in the risk management sector and at National Bank.
• Oversee the development, implementation, documentation, monitoring, and control of policies, standards, and procedures related to surveillance. Make recommendations to automate current processes and improve efficiency.
• Participate in committees or special projects requiring a high level of expertise and represent the Bank with various organizations, authorities, and stakeholders.

Requirements

• University degree in a related field (Finance, Law, Accounting, or Economics)
• 3 to 4 years of experience in the securities industry with a solid understanding of financial products
• Completion of relevant courses, including:Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Compliance Supervisor Course for securities brokers
• Strong understanding of regulatory requirements
• Completion of Derivatives Fundamentals and Options Licensing Course (DFOL) is an asset
• Excellent verbal and written communication skills to provide guidance to internal partners
• Rigor, analytical mindset, and agility

Languages:

English, French

Reason to require this language: you will need to work closely with our colleagues outside Quebec.

Skills

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Artificial Intelligence Banks & Securities Compliance Derivatives Diversity & Inclusion Empathy Initiative Investments Learning Agility Regulatory Requirements Resiliency Risk Analytics Teamwork Transaction Monitoring

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!