Senior Advisor Compliance Programs Financial Markets

Banque Nationale du Canada; Montreal; Hybrid; CAD 70,000 - 110,000; Full time

Job summary

Join a forward-thinking financial institution as a Senior Advisor in the Financial Markets Compliance team. In this role, you will leverage your expertise in regulatory compliance to develop and implement programs that ensure adherence to industry standards and best practices. Your contributions will directly impact the organization's risk management strategies and compliance frameworks. This dynamic workplace fosters continuous development and offers a range of flexible benefits, including health and wellness programs, employee share ownership, and opportunities for community involvement. If you are passionate about making a positive impact and thrive in a collaborative environment, this is the perfect opportunity for you.

Benefits

Health and wellness program

Employee Share Ownership Plan

Employee and Family Assistance Program

Preferential banking services

Opportunities for community initiatives

Virtual sleep clinic

Qualifications

• 7 years of experience in the securities industry is required.
• Good understanding of Canadian Financial Markets regulations is essential.

Responsibilities

• Lead the development of regulatory compliance programs.
• Create dashboards to provide Management with compliance insights.
• Provide guidance on compliance training and assessments.

Skills

Bank regulation

Capital Markets Compliance

Risk and Compliance Reporting

Financial Markets

Governance

Diversity & Inclusion

Learning Agility

Empathy

Regulatory Requirements

Resiliency

Education

University degree in Finance

University degree in Accounting

Related field

Job description

Hybrid

Job number: 26054

Category: Senior Professional

Status: Permanent

Type of Contract: Permanent

Schedule: Full-Time

City: Montreal

Province/State:

Area of Interest: Risk management

A career as a Senior Advisor within the Financial Markets Compliance team at National Bank means acting as a regulatory compliance specialist that will develop and implement regulatory compliance programs for Financial Markets Compliance. This job allows you to have a positive impact on our organization through your compliance and risk management skills.

Your role

• Lead in the development, implementation, and evaluation of regulatory compliance programs and processes to ensure that the required supervisory structure in place, addresses regulatory requirements, industry best practices and NBC policies.
• Develop and maintain compliance policies and procedures.
• Participate in the assessment of the effectiveness of regulatory compliance programs.
• Create dashboards and provide Management with a view of the various compliance programs.
• Provide guidance and support to the Front, Middle and Back Offices in the implementation of the various regulatory compliance programs.
• Assist with the coordination and delivery of required compliance training material.
• Participate in regulatory examinations, as well as communications with the internal audit team.
• Maintain current knowledge of applicable laws and regulations, keep business and management informed as needed.

Your team

The Bank values continuous development and internal mobility. Our personalized training programs, based on learning through action, allow you to master your profession and develop new areas of expertise. Tools such as the Data Academy, language training, the Harvard Learning Center, and coaching and mentoring support are available to you at all times.

National Bank, Financial Markets is a leading Canadian financial services provider helping clients with their capital raising, risk management and advisory requirements. We provide products and services to corporate clients, institutional investors, and government entities.

Prerequisites

• Completed University degree in Finance, Accounting, or related field.
• 7 years of relevant experience in the securities industry.
• Good understanding of Canadian Financial Markets regulations (OSFI, CSA, CIRO).
• Experience in risk and control assessment.
• Ability to think strategically and develop an understanding of the needs and styles of the supported business.
• Autonomous and detail-oriented.

Skills

Bank regulation, Banks & Securities, Capital Markets Compliance, Diversity & Inclusion, Empathy, Financial Markets, Governance, Risk and Compliance, Initiative, Learning Agility, Legal and Regulatory Frameworks, Regulatory Requirements, Resiliency, Risk and Compliance Reporting.

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.
• Employee Share Ownership Plan.
• Employee and Family Assistance Program.
• Preferential banking services.
• Opportunities to get involved in community initiatives.
• 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 actively listen to employees’ ideas. Regular feedback and ongoing communication are 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?

For an environment that supports your career path

There are many varied opportunities for you to progress and develop, and move ahead in your career. This includes on-the-job learning and training, co-development and pairing with other employees, professional support and mentoring, internal career days or discussion forums with our leaders.

For an inclusive and diverse environment

We foster inclusion in an environment where each person’s unique qualities, whether visible or invisible, are celebrated and valued. We welcome all candidates! What can you bring to our team?