National Bank, Financial Markets is a leading Canadian financial services provider helping clients with their capital raising, risk management and advisory requirements. We provide products and services to corporate clients, institutional investors, and government entities. The firm has operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong.

We are expanding our team of passionate professionals and we are seeking a Senior Advisor to ensure a proper governance and coordination of the Financial Markets Compliance activities globally.

Your role :

Coordinate, design and assist in the development and maintenance of a compliance governance framework

Participate in the creation, preparation and periodic update of policies, procedures, and communications, ensuring consistency and compliance with regulatory requirements

Assist in the preparation and coordination of periodic reports to Senior Management, operational and regulatory risk assessments and profiles, reverse due diligence process, Third Party Relationship Management process, action plan follow-ups, etc

Coordinate, evaluate and perform quality assurances on regulatory compliance processes, ensuring that the appropriate controls are being performed and compliant with regulatory requirements

Identify inefficient processes, regulatory failures, make recommendations and participate in the implementation of action plans to ensure compliance with regulatory requirements

Support and participate in deploying new business initiatives and regulatory projects, updating the compliance program, policies, and procedures, developing training and education programs to front line employees and ensure that new initiatives are delivered in compliance with regulatory obligations

Competencies required:

Completed bachelor’s degree in Finance, Accounting, or related field

7 years of relevant experience in the securities industry

Experience in risk assessments and controls

Good understanding of Canadian Financial Markets regulations (OSFI, CSA, IIROC).

Bilingual, spoken and written (English and French), 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. 

 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?