Compliance Manager - Bank
National Bank
A career as a Compliance Supervisor within the Compliance services team at National Bank Financial (NBF) means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the industry.
This position includes daily monitoring, regulatory approvals, and support for regional compliance activities to ensure that all wealth management advisors and branches adhere to the firm’s policies and procedures, as well as industry regulatory standards. Additionally, the Compliance Services team at NBF handles centralized monitoring tasks at head office to ensure regulatory obligations are met.
Mitigate regulatory and operational risks through rigorous review and approval of centralized compliance items
Apply strong analytical judgment to assess complex scenarios, identify risk indicators, and determine appropriate compliance outcomes while balancing regulatory requirements and business needs
Collaborate closely with regional compliance teams as a trusted business partner to identify, assess, and mitigate regulatory and operational risks within their regions
Partner with senior leadership and operations teams to enforce internal policies and align with CIRO (Canadian Investment Regulatory Organization) standards
Supervise client communications, including approving advertising materials, social media activities, and website content
Champion continuous improvement initiatives that enhance team performance and strengthen Level 1 Surveillance processes.
The Compliance Vice-Presidency includes more than 70 specialists who work in an agile, proactive, and collaborative manner to ensure regulatory compliance and continuously improve our processes.
Our personalized training programs, based on experiential learning, allow you to master your role and develop new areas of expertise.
Completed bachelor’s degree in a related field and at least three years of relevant experience
Minimum of two years’ experience at a securities dealer, with strong knowledge of investment products, financial markets, and the regulatory environment
Ability to identify industry-specific risks and implementing effective mitigation strategies.
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 such as:
- Flexible group insurance
- Generous pension plan
- Employee and family assistance program
- Involvement in community initiatives
- Virtual sleep clinic
Whether through our surveys or programs, regular feedback and ongoing communication are encouraged.
We’re a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our core values of partnership, agility, and empowerment inspire us, and inclusion is central to our commitments.
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