Main Challenges

• Act as the key resource in overseeing the Quebec East region's compliance activities to ensure that all Investment Advisors (IA's) and branches respect and comply with the various firm policies and procedures as established by NBF's Compliance department as well as any industry regulatory requirements
• Act as the Compliance liaison for the internal partners (Regional Manager, IA's, Investment Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)

Specifically, you will: 

• Support the region of Quebec East on all matters related to Compliance
• Approval of documentation, new accounts and client file updates, while ensuring compliance
• Approval of compliance activities, including marketing, outside business activities, and all other activities, as required by policy, procedure and regulation
• Identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
• Collaborate with partners from different teams to find solutions to complex scenarios
• Manage and resolve escalations with the Regional Management team
• Meet with Investment Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist them
• Oversee the development and delivery of training activities, information activities and documents concerning policies and practices
• Understand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of files
• Influence orientations in the area compliance and ensure the commitment of all parties involved
• Work on various important projects and complex mandates that will have a significant impact on the Bank's profitability
• Sit on committees, participate in special projects that demand a high level of expertise, and represent the Bank with various agencies and organizations

Your profile:

• Completed Bachelor's degree in a related field and six years' relevant experience or completed Master's degree in a related field and four years' relevant experience
• A minimum of 2 years at a securities dealer acquiring extensive knowledge of various investment products, the financial markets, regulatory and internal environment
• Licensed as a Registered Representative (RR) with the Investment Industry Regulatory Organization of Canada(IIROC)
• Successful completion of the Branch Managers and the Effective Management Seminar within 6 months of employment
• Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
• Proficient knowledge of the following systems:  MS Office, ISM_T80, Creosus, Secured Zone
• Bilingualism in French and English is mandatory  

Your benefits

Upon hiring, you will be eligible for a wide range of benefits. In addition to competitive compensation, we offer attractive benefits for you and your family:

• Health and wellness program, including many benefits
• Flexible group insurance
• Defined benefit pension plan
• Employee Share Ownership Plan
• Employee and family assistance program
• Preferred banking services
• Volunteer program
• Telemedicine
• Virtual sleep clinic

These are just a few of the many benefits we offer. We've rolled out a number of additional measures to ensure your health, safety and wellbeing during the pandemic. 

Our dynamic work environments and cutting-edge collaboration tools foster a pleasant employee experience.  We value employees' ideas and use surveys and other programs to encourage feedback and ongoing communication.

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 accommodations, feel free to let us know during your first conversations with us.

We welcome all candidates! What can you bring to our team?

Ready to live your ambitions?

#LI-CB1

JobField: Risk Management

Unposting Date: 2022-02-09

Job Number: COM000N2

Posting Date: 2022-01-26