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Senior Advisor Compliance Financial Markets

Apply now Job ID 18461804688 Date posted 11/19/2021

Primary Locations: Montreal, Quebec

Employee Status: Regular

Schedule: Full-time


National Bank, Financial Markets is a leading Canadian financial services provider helping clients with their capital raising, risk management and advisory requirements. We provide products and services to corporate clients, institutional investors, and government entities. The firm has operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong.

We are expanding our team of passionate professionals and we are seeking a Senior Advisor to ensure a proper governance and coordination of the Financial Markets Compliance activities globally.

Your role :

  • Coordinate, design and assist in the development and maintenance of a compliance governance framework
  • Participate in the creation, preparation and periodic update of policies, procedures, and communications, ensuring consistency and compliance with regulatory requirements
  • Ensure fluid and efficient communication with the sector’s internal and external partners, facilitating the flow of information
  • Assist in the preparation and coordination of periodic reports to Senior Management, operational and regulatory risk assessments and profiles, reverse due diligence process, Third Party Relationship Management process, action plan follow-ups, etc
  • Coordinate, evaluate and perform quality assurances on regulatory compliance processes, ensuring that the appropriate controls are being performed and compliant with regulatory requirements
  • Identify inefficient processes, regulatory failures, make recommendations and participate in the implementation of action plans to ensure compliance with regulatory requirements
  • Support and participate in deploying new business initiatives and regulatory projects, updating the compliance program, policies, and procedures, developing training and education programs to front line employees and ensure that new initiatives are delivered in compliance with regulatory obligations

Competencies required:

  • Completed bachelor’s degree in Finance, Accounting, or related field
  • 7 years of relevant experience in the securities industry
  • Experience in risk assessments and controls
  • Understanding of applicable Canadian laws and regulations as well of US and EU applicable laws (US and EU are an asset)
  • Excellent analytical, organizational and communication skills
  • Bilingual, spoken and written (English and French), mandatory
  • Attention to details and thoroughness
  • Ability to adapt quickly to change in a fast-paced environment, manage multiple priorities with a strong solutions orientation
  • A strong team player, collaborator and committed to personal excellence

Your benefits:

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
  • Telemedicine
  • 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. 

 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?

#LI-CB1

JobField: Risk Management

Unposting Date: 2021-12-03

Job Number: COM000MR

Posting Date: 2021-11-19

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