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’ll use your skills to play a key role in protecting investors, portfolio managers and other sector stakeholders.
Your role
- Identify high-risk situations and conduct various analyses
- Serve as a resource person on portfolio manager oversight
- Ensure an adequate oversight program is maintained while helping to enhance our practices in order to cover present and future risks
- Ensure that investors, portfolio managers and registered personnel of the Risk Management sector are protected
- See to the drafting, implementation, documentation, monitoring and control of oversight-related policies, standards, and procedures, and make recommendations to automate and improve 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, 3 to 4 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) and Investment Dealer Supervisors Course (IDSC)
- 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!
