Description
A career as a Senior Advisor in the Wealth Management Compliance team at National Bank means acting as a compliance specialist and actively participating in the implementation and evolution of National Bank Investments (NBI) compliance program. It also means leading and managing new projects to ensure that BNI complies with regulations and best business practices. Finally, it is influencing the decisions and objectives of this sector of activity.
This job allows you to have a positive impact on our organization through your risk management skills and knowledge of securities.
Your role:
- Oversee compliance with the regulatory framework applicable to NBI's activities, including securities laws and regulations, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, international sanctions, and internal policies and procedures. More specifically, proactively identify regulatory issues and situations that may expose NBI and National Bank to regulatory and/or reputational risk and conduct complex analysis in order to take actions or make recommendations to management to reduce risks;
- Provide compliance advice during the design of new products, the delivery of new projects and the management of complex files and influence decision-making;
- Carry out supervision activities and improve work methods and supervision tools in order to optimize the compliance program;
- Ensure the implementation of regulatory projects affecting NBI;
- Communicate with regulators and respond to inquiries in collaboration with internal partners such as business line, Legal Affairs, Fund Accounting, etc.);
- Recommend and implement changes to NBI's policies and procedures (implementing new policies and drafting procedures when necessary), based on changing regulations and the needs of the sectors.
Your team:
Within the Wealth Management Compliance sector, you are part of a team of three colleagues and report to the Senior Director, Compliance. Our team stands out for its expertise, its rigor, its willingness to surpass itself and to have close relationships with business sectors.
We favor a variety of forms of continuous learning to enrich your development, including learning in action, training content made available to you and working in collaboration with colleagues with diverse expertise and profiles.
Prerequisites:
- A university degree related to the industry and ten years of relevant experience
- Relevant experience in compliance or risk management
- Experience in an advisory role
- Very good knowledge of investment products and investment management
- Very good knowledge of securities regulation
