Compliance Supervisor

Attendance

Hybrid

Job Number

21494

Category

Intermediate Professional

Status: Permanent

Type of Contract

Permanent

Schedule: Full-Time

Full Time / Part Time?

Full-Time

Posting date

13-Jun-2024

Location: Montreal, Quebec

City

Montreal

Province/State

Quebec

Area of Interest: Risk management

A career as a Compliance Supervisor for the NBF Compliance Services Team, is to act as an essential resource in managing centralized approvals nationwide and provide crucial support for regional Compliance Supervisors during their absences.

This role entails conducting daily supervision, handling regulatory approvals, and aiding in the region's compliance efforts to guarantee that all Wealth Advisors and branches adhere to the firm's policies and procedures, as well as industry regulatory standards. Additionally, the NBF Compliance Services Team is tasked with carrying out routine supervision to maintain adherence to our regulatory commitments.

Your role:

• Overseeing client communications, which includes reviewing and approving advertising materials, social media activities, content in microsites (the websites of our Wealth Advisors).
• Centralized review and approvals addressing a variety of regulatory and operational risks.
• Replacing regional compliance supervisors. This includes approving KYC documentation, managing regional queries, and daily review of transactional activity.
• Detect potentially risky situations, quickly alert regional directors and regional compliance supervisos and recommend the necessary corrective actions
• Weekly and monthly supervisions which includes approval of outside activities of registered persons, review of financial plans and a surveillance of tools used for exchanging client documents.

Basic requirements

• University degree in a related field and 3 years' relevant experience
• A minimum of 2 years at a securities dealer acquiring extensive knowledge of investment products, the financial markets, regulatory and internal environment
• Licensed as an Investment Representative (IR) or Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
• Successful completion of the Investment Dealer Supervisors Course (IDSC) or obtain it within 3 months of hiring
• Strong organizational skills, time management, ability to multi-task, and adapt to a rapidly changing environment

Languages:

Language: French

Language: English

Reason to require this language: you will need to serve clients who speak a language other than French regularly.

Skills

Communication Compliance Compliance Management Diversity & Inclusion Empathy Initiative Investments Learning Agility Resiliency Risk and Compliance Reporting Securities Regulation Surveillance Teamwork

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!

Apply

For an environment that supports your career path

There are many varied opportunities for you to progress and develop, and move ahead in your career. This includes on-the-job learning and training, co-development and pairing with other employees, professional support and mentoring, internal career days or discussion forums with our leaders.

For an inclusive and diverse environment

We foster inclusion in an environment where each person’s unique qualities, whether visible or invisible, are celebrated and valued. We welcome all candidates! What can you bring to our team?