Senior Director Compliance NBIN

National Bank; Toronto; On-site; CAD 100,000 - 150,000; Full time

Job summary

Join National Bank as a Compliance Director, overseeing compliance strategies and advising management on regulatory risks. With a team-oriented approach, you'll ensure adherence to laws and regulations while fostering a positive compliance culture. The role requires a strong background in finance or law, along with over 10 years of relevant experience.

Benefits

Health and wellness program

Employee Share Ownership Plan

Employee and Family Assistance Program

Preferential banking services

Community initiatives involvement opportunities

Virtual sleep clinic

Qualifications

• More than 10 years of relevant experience in compliance roles.
• Experience in a senior leadership compliance role is ideal.
• Proven track record of interfacing with regulators.

Responsibilities

• Oversee compliance within NBIN, advising on regulatory risks.
• Implement compliance programs and monitor procedures.
• Interact with regulators during audits and investigations.

Skills

Strong leadership and management skills

Excellent regulatory knowledge

Strong interpersonal and communication skills

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

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!

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