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Compliance Supervisor

Attendance
Hybrid
Job number
24369
Category
Intermediate Professional
Status: Permanent
Type of Contract
Permanent
Schedule: Full-Time 
Full Time / Part Time?
Full-Time
Posting date
24-Jan-2025
Location: Montreal, Quebec
City
Montreal
Province/State
Quebec
Area of Interest: Risk management

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

Skills

Banks & Securities Communication Compliance Compliance Management Empathy Initiative Investments Learning Agility Resiliency Risk and Compliance Reporting Securities Regulation Surveillance Teamwork Working with Brokers
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!

Why work at National Bank?

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.

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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?

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Discover our culture

Duration: 1 min 25 sec
Flexibility
Flexibility
Wellbeing
Wellbeing
Development
Development
Inclusive Environment
Inclusive Environment

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