Compliance Supervisor - Vancouver, Canada - National Bank of Canada

National Bank of Canada

Verified Company

Vancouver, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

A career as a Compliance Supervisor at National Bank is to act as the key resource in overseeing the British Colombia region's compliance activities to ensure that all Wealth Advisors (WA's) and branches respect and comply with the various firm policies and procedures as established by NBFWM's Compliance Department as well as any industry regulatory requirements.

Your role:

Act as the Compliance liaison, for the British Columbia region, for the internal partners (Regional Manager, WA's, Wealth Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)
Approval of documentation, including new accounts and client file updates, while ensuring compliance
Approval of compliance activities, including marketing, outside business activities, and all other activities, as required by policy, procedure and regulation
Manage Regulatory Risks of the region
Identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
Meet with Wealth Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist them
Understand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of files
Influence orientations in the area compliance and ensure the commitment of all parties involved
Sit on committees, participate in special projects that demand a high level of expertise, and represent the Bank with various agencies and organizations

Requirements:

Completed Bachelor's degree in a related field and six years' relevant experience or completed Master's degree in a related field and four years' relevant experience
A minimum of 2 years at a securities dealer acquiring extensive knowledge of various investment products, the financial markets, regulatory and internal environment
Licensed as a Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
Successful completion of the Investment Dealer Supervisors Course (IDSC) and become Supervisor licensed within 6 months of employment
Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
Proficient knowledge of the following systems: MS Office, ISM_T80, Creosus, Secured Zone

LI-CB1

LI-Hybrid

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
Initiatives promoting community involvement
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.