Senior Compliance Advisor Mutual Fund

Attendance

Hybrid

Job number

24194

Category

Senior Professional

Status: Permanent

Type of Contract

Permanent

Schedule: Full-Time

Full Time / Part Time?

Full-Time

Posting date

14-Jan-2025

Location: Montreal, Quebec

City

Montreal

Province/State

Quebec

Area of Interest: Risk management

As a Senior Advisor in the compliance team for mutual fund distribution at National Bank, you’ll play a key role in the evolution and application of NBSI’s compliance program. This business partner role gives you the opportunity to have a positive impact on our organization through your knowledge of mutual funds and your ability to manage and support stakeholders through changes in distribution channels, business models, products, regulations, technology and other changes.

Your role

o Protect clients, registered representatives (MFRs) and NBSI by helping maintain a robust compliance program.
o Work closely with the team’s experts and act as a business partner with the sectors involved in offering and distributing products to ensure the understanding, evolution and smooth integration of compliance requirements.
o Participate in committees or projects that require a high level of expertise in mutual fund regulations.
o Help reconcile compliance business needs and new technologies.
o Help maintain and develop the monitoring program to cover current and future risks.
o Communicate important information so that stakeholders (colleagues, business lines, partners, management team) are aware of compliance issues and risks.

This position reports to the Senior Manager of the P&C Investment and NBSI Compliance Program, within the wider Risk Management team.

Prerequisites

o Undergraduate degree and 5 to 7 years of relevant experience or master’s degree and 4 years of relevant experience
o Mutual Fund Representative (MFR) course or Canadian Securities Course (CSC) or Branch Compliance Officer course or equivalent
o Financial Planner designation (an asset)
o Good understanding of the work and day-to-day challenges of mutual fund advisors
o Good analytical and problem-solving skills
o Ability to communicate effectively, both verbally and in writing
o Ability to build trust-based relationships

Languages:

English, French

Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French.

Skills

Compliance Diversity & Inclusion Empathy Financial Planning Financial Regulation Initiative Investment Banking Learning Agility Mutual Funds Regulatory Compliance Resiliency Risk & Compliance 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?