Senior Advisor Wealth Management Compliance

Attendance

Hybrid

Job number

22839

Category

Senior Professional

Status: Permanent

Type of Contract

Permanent

Schedule: Full-Time

Full Time / Part Time?

Full-Time

Posting date

11-Oct-2024

Location: Montreal, Quebec

City

Montreal

Province/State

Quebec

Area of Interest: Risk management

A career as a Senior Advisor in the Wealth Management Compliance team at National Bank means acting as a compliance specialist and actively participating in the implementation and evolution of National Bank Investments (NBI) compliance program. It also means leading and managing new projects to ensure that BNI complies with regulations and best business practices. Finally, it is influencing the decisions and objectives of this sector of activity.

This job allows you to have a positive impact on our organization through your risk management skills and knowledge of securities.

Your role:

Oversee compliance with the regulatory framework applicable to NBI's activities, including securities laws and regulations, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, international sanctions, and internal policies and procedures. More specifically, proactively identify regulatory issues and situations that may expose NBI and National Bank to regulatory and/or reputational risk and conduct complex analysis in order to take actions or make recommendations to management to reduce risks;
Provide compliance advice during the design of new products, the delivery of new projects and the management of complex files and influence decision-making;
Carry out supervision activities and improve work methods and supervision tools in order to optimize the compliance program;
Ensure the implementation of regulatory projects affecting NBI;
Communicate with regulators and respond to inquiries in collaboration with internal partners such as business line, Operations, Legal Affairs, Fund Accounting, etc.);
Recommend and implement changes to NBI's policies and procedures (implementing new policies and drafting procedures when necessary), based on changing regulations and the needs of the sectors.

Your team:

Within the Wealth Management Compliance sector, you are part of a team of three colleagues and report to the Senior Director, Compliance. Our team stands out for its expertise, its rigor, its willingness to surpass itself and to have close relationships with business sectors.

We favor a variety of forms of continuous learning to enrich your development, including learning in action, training content made available to you and working in collaboration with colleagues with diverse expertise and profiles.

Prerequisites:

A university degree related to the industry and ten years of relevant experience
Relevant experience in compliance or risk management
Experience in an advisory role
Very good knowledge of investment products and investment management
Very good knowledge of securities regulation

Languages:

English, French

Reason to require this language: you will need to collaborate with a regulator/authority/government body outside Quebec.

Skills

Communication Compliance Compliance controls Diversity & Inclusion Empathy Initiative Investments Investments products for individuals Leadership Learning Agility Legal Regulatory Compliance Regulatory activities Resiliency Risk and Compliance Reporting 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 want to offer an accessible, barrier-free workplace 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?