Description
A career as a Compliance Supervisor within the Compliance team at National Bank Financial means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors during their absence. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the industry.
Your role
This position involves daily monitoring, regulatory approvals, and supporting regional compliance activities to ensure that all wealth management advisors and branches adhere to the firm’s policies, procedures, and industry regulatory standards. Additionally, the NBF Compliance Services team handles certain centralized oversight tasks from headquarters to ensure regulatory compliance.
- Monitor client communications, including approving advertising materials, social media activities, and microsite content.
- Review and approve centralized items related to various regulatory and operational risks.
- Act as a replacement for regional supervisors to manage KYC approvals, regional queries, and daily transaction supervision.
- Quickly identify high-risk situations, notify relevant stakeholders, and recommend corrective actions.
- Perform weekly and monthly supervision tasks, including external activities, financial plans, and document exchange tools.
Your team
The Compliance Vice-Presidency consists of over 70 specialists working in an agile, proactive, and collaborative manner to ensure regulatory compliance and continuously improve our processes.
In this role, you will be part of a group of seven colleagues and work closely with regional supervisors. Our environment fosters collaboration and excellence while offering flexibility to support work-life balance.
At National Bank, we value continuous development and internal mobility. Our personalized training programs, based on hands-on learning, will help you master your role and develop new areas of expertise.
Basic requirements
- A university degree in a related field and at least three years of relevant experience.
- At least two years of experience with an investment dealer, with strong knowledge of investment products, financial markets, and the regulatory environment.
- A registered representative (RR) or investment representative (IR) license with the Canadian Investment Regulatory Organization (CIRO).
- Successful completion of the Branch Managers’ Course (BMC) within three months of hiring.
- Strong organizational skills, adaptability in a fast-paced environment, and solution-oriented analytical abilities.
