Senior Compliance Advisor

Attendance

Hybrid

Job number

25242

Category

Senior Professional

Status: Permanent

Type of Contract

Permanent

Schedule: Full-Time

Full Time / Part Time?

Full-Time

Posting date

09-Apr-2025

Location: Montreal, Quebec

City

Montreal

Province/State

Quebec

Area of Interest: Risk management

As a Senior Compliance Advisor in the Wealth Management Compliance team at National Bank, you’ll be responsible for establishing and maintaining an adequate oversight framework for wealth management. In this role, you’ll have the opportunity to make a positive impact on our organization through your knowledge of wealth management and investment products. You will be able to showcase your skills to play a key role in protecting investors, registered personnel, and other sector stakeholders

Your role

• Identify high-risk situations and conduct various analyses
• Act as a resource person regarding surveillance, particularly for specialized products such as private pools funds, products issued by offering memorandum, and derivatives.
• Ensure an adequate supervision program is maintained while helping to enhance our practices in order to cover present and future risks
• Protect investors, registered personnel, and the Risk Management sector.
• Oversee the drafting, implementation, documentation, monitoring, and control of oversight-related policies, standards, and procedures. Additionally, provide recommendations to automate and enhance the efficiency of existing processes.
• Participate in committees or special projects that require a high level of expertise and represent the Bank in dealings with various organizations, agencies or stakeholders.

Prerequisites

• University degree, 4 to 5 years of experience in the securities industry, and good product knowledge
• Successful completion of relevant courses, including the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Investment dealer supervisor course (IDSC), The derivatives Fundamentals and Options Licensing (DFOL) and Options supervisor course (OSC).
• A designation such as CIM (CSI) or CFA Level 1, an asset
• Ability to communicate effectively, both verbally and in writing, to provide advice to internal partners
• Ability to provide quick and efficient service

Languages:

English, French

Reason to require this language: you will need to serve clients who speak a language other than French regularly.

Skills

Compliance Management Diversity & Inclusion Investments Portfolio Management Teamwork Empathy Initiative Learning Agility Resiliency Analytical thinking Clients portfolio management Investments products for individuals Financial Portfolio Management Compliance

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 offer a barrier-free workplace that is accessible 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?