Compliance Supervisor

National Bank of Canada; Montreal (administrative region); On-site; CAD 90,000 - 120,000; Full time

Benefits offered by this job

Health and wellness program

Flexible group insurance

Generous pension plan

Employee Share Ownership Plan

Telemedicine service

Involvement in community initiatives

Employee and family assistance program

Job summary

National Bank Financial (NBF) seeks a Compliance Supervisor to lead centralized approvals and support regional supervisors, ensuring adherence to internal policies and regulatory requirements across wealth management. The role emphasizes daily monitoring, regulatory approvals, and proactive risk mitigation across branches.

You will work with the Compliance Services team at head office to maintain audit-ready records, oversee advertising approvals, and strengthen Level 1 Surveillance processes

Qualifications

• 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.
• Registered Representative (RR) or Investment Representative (IR) license with CIRO.
• Successful completion of Investment Dealers Supervisors Course (IDSC), or within three months of hiring.
• Strong organizational skills, time-management, and adaptability in a fast-paced environment, and solution-oriented analytical abilities.
• Ability to identify industry-specific risks and implementing effective mitigation strategies.

Responsibilities

• 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 standards.
• Supervise client communications, including approving advertising materials, social media activities, and website content.
• Ensure supervisory activities are conducted consistently and effectively, maintaining appropriate documentation and audit-ready records.
• Champion continuous improvement initiatives that enhance team performance and strengthen Level 1 Surveillance processes.

Skills

AI

Compliance

Diversity & Inclusion

Empathy

Equity Capital Markets

Initiative

Investments for individuals

Learning Agility

Registered Representative

Resiliency

Risk & Compliance Reporting

Risk Management

Risk Monitoring

Securities

Teamwork

Wealth Management

Education

Bachelor’s degree in a related field

Minimum of three years of relevant experience

Tools

CIRO license

Job description

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
• Ensure supervisory activities are conducted consistently and effectively, maintaining appropriate documentation and audit-ready records
• Champion continuous improvement initiatives that enhance team performance and strengthen Level 1 Surveillance processes.

Your team

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.

Within this team, you’ll collaborate with a dynamic group of professionals to drive shared goals. Our culture fosters teamwork, excellence, and innovation, while providing the flexibility you need to maintain a healthy work-life balance.

The Bank values continuous development and internal mobility. Our personalized training programs, based on experiential learning, allow you to master your role and develop new areas of expertise.

Prerequisites

• 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
• Registered Representative (RR) or Investment Representative (IR) license with CIRO
• Successful completion of Investment Dealers Supervisors Course (IDSC), or within three months of hiring
• Strong organizational skills, time-management, and adaptability in a fast-paced environment, and solution-oriented analytical abilities
• Ability to identify industry-specific risks and implementing effective mitigation strategies.

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.

Your job

• 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
• Ensure supervisory activities are conducted consistently and effectively, maintaining appropriate documentation and audit-ready records
• Champion continuous improvement initiatives that enhance team performance and strengthen Level 1 Surveillance processes.

Your team

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.

Within this team, you’ll collaborate with a dynamic group of professionals to drive shared goals. Our culture fosters teamwork, excellence, and innovation, while providing the flexibility you need to maintain a healthy work-life balance.

The Bank values continuous development and internal mobility. Our personalized training programs, based on experiential learning, allow you to master your role and develop new areas of expertise.

Prerequisites

• 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
• Registered Representative (RR) or Investment Representative (IR) license with CIRO
• Successful completion of Investment Dealers Supervisors Course (IDSC), or within three months of hiring
• Strong organizational skills, time-management, and adaptability in a fast-paced environment, and solution-oriented analytical abilities
• Ability to identify industry-specific risks and implementing effective mitigation strategies.

Languages: French, English

Reason to require this language: you will need to work closely with our colleagues outside Quebec.

Required skills

• Artificial Intelligence
• Compliance
• Diversity & Inclusion
• Empathy
• Equity Capital Markets
• Initiative
• Investments products for individuals
• Learning Agility
• Registered Representative (certification)
• Resiliency
• Risk and Compliance Reporting
• Risk Management
• Risk Monitoring
• Securities
• Teamwork
• Wealth Management

Your benefits

• 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
• Involvement in community initiatives
• Telemedicine service
• Virtual sleep clinic

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 value employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication are encouraged.

Making a bold move in a people-first environment

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 people’s lives. Our core values of partnership, agility, and empowerment inspire us, and inclusion is central to our commitments. We aim, wherever possible, to provide a barrier-free and accessible environment to all employees.

We strive to provide accessibility measures throughout the recruitment process within the limits of our available resources. If you require accommodations, feel free to let us know during our initial conversations. We welcome all candidates! What can you bring to our team?

Join us!