Senior Compliance Supervisor

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

A career as a Senior Compliance Supervisor at National Bank means acting as a specialist in overseeing regional compliance activities to ensure that all Wealth Management Advisors (WMAs) and branches comply with the various policies and procedures established by NBC, as well as all industry regulatory requirements. You are also responsible for providing compliance support to Wealth Management, with an emphasis on managing regulatory, civil, and reputational risk for NBWM.

Your role

• 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

Your team

Our team stands out for its field-based approach, close proximity to advisors, and ability to translate regulatory requirements into concrete and practical solutions. We aim to offer you maximum flexibility to support your quality of life. This is reflected in a hybrid work environment, as well as a flexible and adaptable schedule.

Prerequisites

• 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: The selected candidate must be approved as a supervisor under CIRO rules, including successful completion of the CIRO Supervisor Exam
• Demonstrated ability to identify and mitigate compliance risks
• 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

Languages: French
Required skills: Compliance, Compliance Management, Regulatory Compliance Auditing, Regulatory Requirements, Regulatory risk identification, Risk Monitoring, Securities, Standards Compliance, Teamwork, Undertakings For Collective Investment In Transferable Securities Directives, Working with Brokers

Your benefits

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:

• 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!