Senior Director Compliance NBIN

Banque Nationale du Canada; Toronto; On-site; CAD 120,000 - 180,000; Full time

Job summary

A leading financial institution seeks a Compliance Director to oversee compliance within NBIN and advise management on regulatory risks. This position requires strong leadership, strategic planning, and an in-depth understanding of securities regulations. The successful candidate will implement compliance strategies, manage a team, and represent the institution during regulatory engagements.

Benefits

Flexible benefits

Health and wellness programs

Employee Share Ownership Plan

Preferential banking services

Community involvement opportunities

Qualifications

• Over 10 years of relevant experience in compliance.
• Completion of industry courses (Conduct & Practises Handbook, PDO, CSC).
• Proven senior leadership experience in compliance.

Responsibilities

• Oversee compliance within NBIN and advise management on regulatory risks.
• Lead the development and implementation of compliance strategies.
• Engage with regulators during audits and investigations.

Skills

Communication

Risk Management

Strategic Vision

Influence

Managerial Courage

Education

University degree in finance, law, or related field

Job description

A career as a Compliance Director in the Compliance team at National Bank involves overseeing compliance within NBIN and advising executive management on regulatory risks and trends. You will lead the development and implementation of compliance strategies, programs, and teams.

• Establish the strategic vision and advise management on compliance matters.
• Supervise the implementation of standards and procedures to ensure adherence to laws and regulations.
• Engage with regulators during audits and investigations, representing NBII as the primary compliance contact.
• Maintain and enhance control environments to mitigate regulatory risks.
• Evaluate new products, services, and activities for compliance.
• Implement training programs to promote a compliance culture.
• Identify emerging risks and develop mitigation strategies.

Team Structure

The Senior Manager reports to the Chief Compliance Officer - National Bank Wealth Management and leads a team of two professionals based in Toronto, known for their expertise and commitment to regulatory excellence.

Prerequisites

• University degree in finance, law, or related field, with over 10 years of relevant experience.
• Completion of industry courses (Conduct & Practises Handbook, PDO, CSC).
• Proven senior leadership experience in compliance, preferably within a CIRO-registered firm or carrying broker.
• Experience interfacing with regulators and senior executives, with influential skills.
• Strong understanding of securities regulations, SRO rules, and industry standards.
• Knowledge of operational processes in large financial institutions, including trade execution, custody, and compliance monitoring tools.

Languages and Skills

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

In addition to competitive compensation, we offer flexible benefits such as health and wellness programs, Employee Share Ownership Plan, Employee and Family Assistance Program, preferential banking services, community involvement opportunities, and a virtual sleep clinic.

Our work environment fosters positivity, collaboration, and active listening. We value employee feedback and open communication.

Our Values

We are a human-scale bank committed to making a positive impact, guided by partnership, agility, empowerment, and inclusivity. We provide accessible, barrier-free workplaces and recruitment processes. If you require accommodations, please let us know during your initial conversations. Join us and bring your ambitions to life!