Compliance Supervisor - Montréal, Canada - National Bank of Canada

National Bank of Canada

Verified Company

Montréal, Canada

3 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

As a Compliance Supervisor at National Bank, you'll be a key resource person for compliance activities in the Montreal area, ensuring all Wealth Advisors and branches adhere to the various policies and procedures established by NBF's compliance department and to industry regulatory requirements.

Your role:

Authorize documentation, new accounts and updates to client files, while ensuring compliance
Oversee transactions, detect highrisk situations and conduct various analyses
Protect investors, investment advisors and staff within the Risk Management sector and National Bank
See to the implementation, documentation, monitoring and control of oversightrelated policies, standards, and procedures, and make recommendations to improve existing processes and their efficiency
Participate in regional and national meetings, and make the link with compliance and business conduct
Serve as a reference person on business conduct for Wealth Advisors, the Regional Manager and other partners

Prerequisites

Completed degree in a related field (Finance, Law, Accounting or Economics)
Minimun 2 years of experience in the securities industry
Successful completion of relevant courses, including the Canadian Securities Course, Conduct and Practices Handbook Course and Investment Dealer Supervisors Course
Ability to communicate effectively, verbally and in writing, to provide advice to internal partners
Interested in learning and growing in an organization
Attention to detail, analytical mindset, and agility

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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.

Come live your ambitions with us