Senior Director Compliance NBIN

Banque Nationale du Canada; Toronto; On-site; CAD 120,000 - 170,000; Full time

Job summary

Join a leading Canadian bank as a Compliance Director, overseeing compliance strategies and addressing regulatory risks. With a focus on cultivating a culture of compliance, you'll manage a team and work closely with executive management to foster regulatory excellence and growth within the bank. Your expertise in compliance will guide new services and ensure adherence to industry standards while working in an inclusive environment that values diversity.

Benefits

Health and wellness program

Employee Share Ownership Plan

Employee and Family Assistance Program

Preferential banking services

Opportunities for community involvement

Virtual sleep clinic

Qualifications

• More than 10 years of relevant experience
• Completion of industry courses like Conduct & Practices Handbook and CSC.
• Proven experience in a senior leadership compliance role.

Responsibilities

• Oversee compliance within NBIN and advise management on regulatory risks.
• Supervise implementation of compliance standards and interact with regulators.
• Lead compliance training programs and identify emerging risks.

Skills

Communication

Diversity & Inclusion

Emotional Intelligence

Innovation

Management

Risk Management

Business Alignment

Decision Making

Influence others

Learning Agility

Resiliency

Strategic Vision

Strategy Execution

Managerial Courage

Compliance

Cross-team Collaboration

Education

University degree in finance, law or a related field

Job description

A career as a Compliance Director in the Compliance team at National Bank it is responsible for overseeing compliance within NBIN and advising executive management on emerging regulatory risks and trends affecting operations, the implementation of new services and products for clients and the escalation of significant regulatory issues. As a Compliance Leader and subject matter expert, you are the architect and steward of the line of business compliance strategy, structure and processes. You will lead, align and implement compliance programs and teams.

• Establish the strategic vision and provide advice to the management team on compliance
• Supervise and monitor the implementation of standards and procedures to ensure compliance with laws and regulations
• Interact with regulators during audits and investigations By representing NBII as the primary point of contact for Compliance
• Maintain and improve an appropriate control environment to manage and mitigate regulatory risks.
• Participate in the evaluation of new products services and activities to ensure compliance
• Roll out training programs to foster a sustainable compliance culture
• Identify emerging risks and recommend effective mitigation measures

Your team

The Senior Manager reports to the Chief Compliance Officer – National Bank Wealth Management. The manager will lead a team of two professionals located in Toronto. The team stands out for its in-depth expertise, team spirit and commitment to regulatory excellence.

Prerequisites

• University degree in finance, law or a related field, with more than 10 years of relevant experience
• Completion of applicable industry courses (Conduct & Practises Handbook, PDO, CSC)
• Proven experience in a senior leadership compliance role, ideally within an CIRO-registered firm or carrying broker;
• Strong track record of interfacing with regulators and senior executives, with the ability to influence at all levels;
• Good understanding of applicable securities regulations, self-regulatory organization rules, and industry standards;
• Good knowledge of operational processes within a large financial institution, including exposure to trade execution, custody, clearing systems, and compliance monitoring tools

Languages:

Skills

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Communication Diversity & Inclusion Emotional Intelligence Innovation Management Risk Management Business Alignment Decision Making Influence others Learning Agility Resiliency Strategic Vision Strategy Execution Managerial Courage Compliance Cross-team Collaboration

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

These are a few of the benefits available to you. 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. Whether through our surveys or programs, regular feedback and ongoing communication is 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?

Come live your ambitions with us!

Why work at National Bank?

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?

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