Primary Locations: Montreal, Quebec
Employee Status: Regular
- Do you want to join a team involved in the Bank's transformation?
- Would you like to be a business partner in the management of risk?
- Do you want to participate in implementing and maintaining sound practices within the organization?
As a Wealth Management Compliance Officer, you will actively participate in implementing and maintaining the National Bank Investments (NBI) compliance program. You will also lead and manage new projects related to business initiatives to ensure that NBI complies with regulations and best business practices. Finally, you will influence the decisions and objectives of this business sector. This position reports to the Senior Manager and Chief Compliance Officer – Personal Banking, Commercial Banking and NBI
Interested in finding out more?
- Regulatory supervision: Securities laws and regulations, MFDA, Proceeds of Crime (Money Laundering) and Terrorist Financing Act, internal policies and procedures. More specifically, proactively detect regulatory issues and situations that could expose NBI and the Bank to regulatory and/or reputational risk and carry out complex analyses and assessments in order to take measures or make recommendations to management to reduce potential risk.
- Improve work methods and supervision tools to optimize the compliance program
- Implement regulatory projects affecting NBI
- Act in an advisory capacity regarding compliance during the design phase of new products, new business initiatives, and for managing complex files
- Build, implement and maintain a due diligence review framework and participate in due diligence reviews for external portfolio managers and new and existing NBI clients
- Approve NBI advertising materials
- Recommend and implement changes to NBI policies and procedures (implement new policies and draft procedures, as required), in accordance with regulation development and sector needs
- Communicate with regulatory organizations and collaborate with internal partners such as the business sector, Operations, Legal Affairs, Fund Accounting, etc., to respond to information requests
- A bachelor's degree in a related field and ten years of relevant experience or a master's degree in a related field and six years of relevant experience
- Have passed the PDO exam, the compliance exam for mutual fund dealers or the qualifying exam for Chief Compliance Officers
- CFA designation and legal training, an asset
- Relevant compliance or risk management experience
- Experience in an advisory role
- Very good knowledge of investment products and investment management
- Knowledge of securities regulations
- Bilingualism, spoken and written (English and French)
Upon hiring, you will be eligible for a wide range of benefits. In addition to competitive compensation, we offer attractive benefits for you and your family:
- Health and wellness program, including many benefits
- Flexible group insurance
- Defined benefit pension plan
- Employee Share Ownership Plan
- Employee and family assistance program
- Preferred banking services
- Volunteer program
- Virtual sleep clinic
These are just a few of the many benefits we offer. We've rolled out a number of additional measures to ensure your health, safety and wellbeing during the pandemic.
Our dynamic work environments and cutting-edge collaboration tools foster a pleasant employee experience. We value employees' ideas and use surveys and other programs to encourage feedback and ongoing communication.
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 accommodations, feel free to let us know during your first conversations with us.
We welcome all candidates! What can you bring to our team?
Ready to live your ambitions?
Unposting Date: 2021-09-23
Job Number: RIS00167
Posting Date: 2021-09-16