Description
A career as a Senior Advisor Compliance Investigations, Wealth Management and Financial Markets, at National Bank, means acting as a specialist in the identification and analysis of potential breaches of rules, policies and procedures from approved persons. This job allows you to have a positive impact on our organization thanks to your ability to recognize risks and ensure sound risk management.
Joining our team means growing in a dynamic, evolving context, where the work is stimulating and diverse.Your role:
- Ensure the management, execution and control of regulatory investigation files conducted by Compliance: identification of the mandate, potential breaches and applicable rules, policy and procedures, development of investigation plans and strategies, follow-ups, questioning of the relevant parties, maintain rigorous documentation and confidentiality, drafting and reviewing reports;
- Provide expertise in the context of investigation or litigation files mandated by Legal Affairs and of questions from our partners;
- Maintain investigation protocols/procedures to ensure proper and consistent management of files and manage litigation risk;
- Recommend appropriate corrective and disciplinary measures to the managers responsible for subject of the investigation;
- Ensure compliance with regulatory disclosure obligations and prescribed deadlines;
- Maintain communication between stakeholders and coordinate activities: Compliance, Legal Affairs, External Counsel, Corporate Security and Employee Relations to ensure the effective management of activities.
Your team:
The position reports to the Director of Investigations within the Compliance - Wealth Management and Financial Markets sector.
Prerequisites:
- Completed Bachelor of Laws degree, related to the industry and 6 years of relevant experience or Master's degree completed, related to the business line and 4 years of relevant experience;
- Member of the Barreau (an asset);
- Education or experience in investigation;
- Canadian Securities Course (CSC) and Conduct Standards Manual (MNC) course, desirable;
- Excellent capacity for analysis and synthesis, rigor, critical thinking and recognized ability to identify and address complex issues.
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
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!
