Senior Compliance Lead: Regulatory Risk & Oversight (Hybrid)

National Bank of Canada; Brossard; Hybrid; CAD 90,000 - 130,000; Full time

Benefits offered by this job

Health and wellness program

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

Job summary

National Bank of Canada is seeking a Senior Compliance Supervisor to oversee regional compliance for Wealth Management Advisors and branches in a hybrid work setting. You will ensure adherence to internal policies and regulatory requirements, approve client documentation, and lead risk management initiatives.

The role emphasizes education and leadership, with responsibilities across audits, regulatory examinations, and collaborative governance.

Qualifications

• University degree and a minimum of 5 years of experience in compliance roles with a securities dealer.
• Minimum of 3 years of experience in a Compliance Supervisor role.
• Licensing requirement: must be approved as a supervisor under CIRO rules, including CIRO Supervisor Exam.
• Experience in audits, regulatory examinations, or investigations.
• Excellent knowledge of the industry regulatory framework.
• Positive attitude to promote a strong culture of compliance within the region served and within the compliance team.

Responsibilities

• Act as a compliance liaison with internal partners (Regional Director, WMAs, Wealth Management Associates, and Administrative Assistants), as well as external partners (auditors and regulatory bodies).
• Ensure first-line (Tier 1) oversight of advisors’ and branches’ compliance activities, in accordance with internal policies and regulatory requirements.
• Approve client account documentation and review and approve compliance-related activities, including conflicts of interest and outside activities.
• Conduct branch visits according to a pre-established schedule.
• Provide compliance expertise services to your region related to regulatory obligations, and respond to both routine and complex advisory requests.
• Promote a culture of risk identification and management, including documentation and management of high-risk files, escalations, and action plans.
• Build a culture of compliance through education by developing awareness and knowledge through ongoing support, communication, coaching, and employee training.
• Support the training and development of new Compliance Supervisors.
• Participate in committees that support risk management governance.

Skills

Compliance

Compliance Management

Regulatory Compliance Auditing

Regulatory Requirements

Risk Identification

Risk Monitoring

Securities

Standards Compliance

Teamwork

UCITS Directives

Working with Brokers

Education

University degree

CIRO Supervisor Exam

Job description

National Bank of Canada is seeking a Senior Compliance Supervisor to oversee regional compliance for Wealth Management Advisors and branches in a hybrid work setting. You will ensure adherence to internal policies and regulatory requirements, approve client documentation, and lead risk management initiatives.

The role emphasizes education and leadership, with responsibilities across audits, regulatory examinations, and collaborative governance.