A career in Compliance in National Bank’s Wealth Management sector gives you the opportunity to play a role in risk management, be part of the transformation and make a positive impact for clients and the organization.

In your role as a Senior Advisor, you will mainly work with two sectors: National Bank Independent Network (NBIN) and National Bank Private Investment (NBPI). You’ll put your expertise to work within these compliance programs and participate in their development.

Your role:

• Participate in supervision and business conduct activities for the sectors served
• Advise the sectors served on applicable regulatory requirements
• Participate in special projects and large-scale mandates (regulatory, operational and/or business-related) that require your expertise
• Help create, draft and/or periodically update policies, procedures and communications for the sectors served
• Develop and review work systems and processes to improve them, ensure their quality and increase their efficiency
• Identify irregularities that may present risks and implement the necessary corrective measures

With this position, which reports to the Senior Manager, NBIN and NBPI Compliance, we are seeking to add a key member to a small team dedicated to supporting the growth of the sectors served. This small team is an integral part of the Wealth Management Compliance team and regularly collaborates with other groups at National Bank.

Required skills

• Completed bachelor’s or master’s degree in a related field and 4 to 7 years of relevant experience
• Good understanding of regulatory requirements for the securities industry and of the relevant regulatory bodies (Canadian Securities Administrators, Investment Industry Regulatory Organization of Canada, etc.)
• Ability to work well in a team to offer advice and identify solutions in a dynamic environment
• Ability to communicate effectively with internal partners in French and English, verbally and in writing
• Proficiency with IT and collaboration tools (Word, Excel, Teams, SharePoint, etc.)

Preferred skills

• Curious, interested in learning, versatile and dynamic
• Disciplined approach and analytical ability
• Successful completion of relevant courses, including the Canadian Securities Course and the Conduct and Practices Handbook Course (an asset)
• Knowledge of introducing broker/carrying broker arrangements and/or of private investment (an asset)

In this position, you’ll be able to leverage your knowledge of the securities industry while constantly learning from the broad scope of activities in the sectors served. Your responsibilities may also evolve as you continue your development. National Bank strongly encourages talent mobility.

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?

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JobField: Risk Management