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National Bank

Senior Advisor Risk and Regulatory

  • To be discussed
  • Full time

  • 1 position to fill as soon as possible

*** Please note that candidates can be located in either Toronto or Montreal ***

As a Senior Advisor, Risk and Regulatory, you have an expert understanding of regulatory compliance, operational risk, and the financial services industry. You will manage new projects and business initiatives to ensure that National Bank Independent Network (NBIN) complies with the applicable regulations and risk management best practices. You will help promote a positive risk management culture within NBIN and will provide support as an expert in regulatory compliance and operational risk for our IB, PM and IFM firms.

The Senior Advisor will report to the Senior Manager of NBIN Risk & Regulatory.

 Your role :

  • Participate as a member of the team’s leadership in setting targets and assisting the Risk & Regulatory team in achieving its objectives.
  • Review documentation provided by regulatory bodies both domestically (CIRO, OSC, CSA) and outside Canada (FINRA, SEC, UK); industry associations (IIAC, PMAC); legal and consulting firms; and CRA. 
  • Gain a thorough understanding of new and proposed regulations to assess impact and assist in preparing position papers and/or comment letters.
  • Provide internal support as a Subject Matter Expert in implementing new regulatory projects.
  • Assist in developing a value-add regulatory offering for NBIN Client firms including producing monthly bulletins and quarterly webinars.
  • Proactively develop and manage positive relationships between the Risk Department and other stakeholders such as Legal, Compliance and industry groups such as PMAC and IIAC.
  • Act as a subject matter expert for regulatory compliance items such as Privacy, AML, CIRO and CSA regulations.
  • Assist in managing department projects; lead various projects required to meet our goals and make improvements to processes within the team and NBIN.
  • Assist in developing and documenting policy and procedures related to operations within NBIN to ensure compliance with regulatory requirements.

Your team:

National Bank Independent Network (NBIN) is a division of National Bank Financial (NBF), a wholly owned subsidiary of National Bank of Canada (NBC).  NBIN is the premier provider of carrying broker, trading and custodial services to CIRO registered Introducing Broker (IB) firms, Portfolio Management (PM), Prime Brokerage (PB), and Investment Fund Management (IFM) firms across Canada.  Consult for more details.  


  • Bachelor’s degree in a related field and 7+ years’ relevant experience
  • Strong knowledge of regulatory environment in the financial services industry
  • An ability to create efficiency, optimize, add value, and go above and beyond in normal duties
  • Strong analytical, problem-solving, and presentation skills
  • Ability to work independently and in a team environment
  • Strong communication skills in English, French would be an asset
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!

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