As a senior advisor in the compliance team for mutual fund distribution, you will play a key role in resolving complaints from National Bank Investments (NBI) clients. You’ll be able to use your mutual fund expertise to perform various analyses and interact with different Bank sectors in order to obtain useful information for handling complaints while complying with regulatory requirements.  Joining our team means growing in a dynamic environment that’s constantly evolving.

In your role of Advisor, NBI Client Complaint Management, you’ll take charge of escalated client complaints that require more complex follow-up at the level of the regulatory authorities. More specifically, you will:

• Investigate certain complaints from NBI clients, taking into account laws and regulations as well as the sound practices of the regulatory authorities and the financial services industry, while adhering to strict regulatory timeframes.
• Carry out a comprehensive analysis with stakeholders and issue your conclusions in writing, ensuring that they are fair and equitable, well documented and written in clear and accessible language.
• Act as a point of contact for the regulatory authorities, filing the mandatory reports in registries and carrying out related follow-ups.
• Ensure governance of NBI complaints by staying abreast of regulatory changes, keeping the register of complaints up to date, updating policies and procedures and ensuring that participants in the complaint-management process are suitably trained.
• Analyze the root causes of complaints, assess the impacts, identify the issues and the training required to resolve them and implement the necessary measures.
• Conduct analyses and produce various reports and statistics in order to provide the information required to handle complaints.
• Support Operational Quality Advisors and the sales force and liaise with internal partners (Legal Affairs, Operations, etc.) as part of the complaint management process.

This position reports to the Compliance Manager, NBI Distribution & P&C Investments, within the Corporate Compliance sector.

Target profile

• Completed bachelor’s degree and 7 to 10 years of relevant experience or completed master’s degree and 6 years of relevant experience
• BCO or MFR licence held for more than 2 years
• Several years of experience in mutual funds, customer service and advisory services
• Excellent analytical and synthesis skills, critical thinking skills and proven ability to identify complex problems and issues
• Excellent communication and listening skills, empathy and diplomacy
• Interpersonal skills, self-discipline, ability to manage conflicts and challenging personalities
• Perfect command of French and English grammar and proven writing skills
• Proven experience in a role providing advice and exercising influence with colleagues, peers and management
• Knowledge of the CRM, RBroker and SAP platforms (an asset)
• Bilingualism (perfect command of French and advanced level in English)

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