Job details

A career as a Private Client Compliance Advisor means acting as a key resource for compliance activities associated with our national network to ensure that Private Wealth Advisors and branches respect and comply with internal policies and procedures as well as industry regulatory requirements.

Your job

• Analyze and authorize documentation, new accounts, and updates to client records.
• Perform transactional monitoring, detect risky situations, and produce diversified and relevant analyses.
• Act as a point of contact for the conduct of business with Wealth Management Advisors, the Regional Director and other partners.
• Ensure the implementation and management of changes, documentation, monitoring and control of policies, standards and procedures related to the monitoring and conduct of business; Produce recommendations to improve current processes and increase their efficiency.
• Train and sensitize our sales force to requirements (existing and new) as well as emerging risks.

Your team

In the Commercial Banking & Private Banking 1859 sector, you will be part of a team of 13 colleagues and report to the Senior Manager of Administration & Performance Measure | Risk and Operational Quality. Our team stands out for its quality of advisory role and regulatory expertise.

Our learning-in-action training programs allow you to master your craft. Customized training content on topics such as new regulatory requirements is available to support your continuous learning. Access to colleagues with different expertise, experience and diverse profiles enriches your development from all points of view.

Prerequisites

• Bachelor's degree completed in a related discipline (Finance, Law, Accounting or Economics)
• 5 to 6 years of experience in the security industry
• Demonstrate successful completion of the following relevant courses, including a current registration with OCRI: Securities Course, Conduct and Practices Manual Course, Securities Dealer Supervisor Course
• Successful completion and registration on Financial Planning is an asset and will be an integral part required within 18 months.
• Ability to communicate effectively, verbally and in writing, to provide advice and recommendations to our partners.
• Ability to work under pressure and on multiple files, dynamic and have an interest in learning.
• Ease with day-to-day operational activities.
• Ability to promote ethical conduct aligned with the organization's values.
• Strong sense of collaboration
• Rigorous, analytical and agile
• Bilingualism (spoken/written) French and English, essential.