Senior Advisor Compliance Programs Financial Markets

National Bank of Canada; Montreal; On-site; CAD 80,000 - 120,000; Full time

Job summary

Join a leading Canadian financial services provider as a Senior Advisor within the Financial Markets Compliance team. This role focuses on developing and implementing compliance programs, requiring expertise in financial regulations and strategic risk management. National Bank supports your professional growth with extensive training programs in a collaborative and innovative environment.

Benefits

Health and wellness programs

Insurance benefits

Pension plan

Employee share ownership program

Assistance programs

Qualifications

• 7 years of relevant experience in the securities industry.
• Understanding of Canadian Financial Markets regulations (OSFI, CSA, CIRO).
• Experience in risk and control assessment.

Responsibilities

• Develop and implement regulatory compliance programs.
• Assess the effectiveness of compliance programs.
• Create dashboards and provide management insights.

Skills

Regulatory compliance

Risk management

Strategic thinking

Detail-oriented

Education

University degree in Finance, Accounting, or related field

Job description

Join to apply for the Senior Advisor Compliance Programs Financial Markets role at National Bank of Canada .

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A career as a Senior Advisor within the Financial Markets Compliance team at National Bank involves acting as a regulatory compliance specialist responsible for developing and implementing regulatory compliance programs for Financial Markets Compliance. This role offers the opportunity to positively impact the organization through your compliance and risk management skills.

Your role

• Lead in developing, implementing, and evaluating regulatory compliance programs and processes to ensure the supervisory structure addresses regulatory requirements, industry best practices, and NBC policies.
• Develop and maintain compliance policies and procedures.
• Assess the effectiveness of regulatory compliance programs.
• Create dashboards and provide management with insights into compliance programs.
• Support the Front, Middle, and Back Offices in implementing compliance programs.
• Coordinate and deliver compliance training materials.
• Participate in regulatory examinations and communicate with internal audit teams.
• Keep informed of applicable laws and regulations, and update management accordingly.

Your team

National Bank values continuous development and internal mobility. Our training programs, including the Data Academy, language training, Harvard Learning Center, coaching, and mentoring, support your professional growth.

National Bank, Financial Markets, is a leading Canadian financial services provider with operations across multiple cities and internationally, serving clients in capital raising, risk management, and advisory services.

Prerequisites

• University degree in Finance, Accounting, or related field.
• 7 years of relevant experience in the securities industry.
• Understanding of Canadian Financial Markets regulations (OSFI, CSA, CIRO).
• Experience in risk and control assessment.
• Strategic thinking and understanding of business needs.
• Autonomous, detail-oriented.

Competitive compensation and a range of benefits including health and wellness programs, insurance, pension plan, employee share ownership, assistance programs, and more.

Our work environment fosters collaboration, innovation, and inclusivity. We are committed to accessibility and welcome all candidates, offering accommodations during the recruitment process.

Additional Information

Level : Mid-Senior level

Type : Full-time

Function : Finance and Sales

Industry : Banking

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Financial Advisor • Montreal, Montreal (administrative region), Canada