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Senior Operational Compliance Advisor

Apply now Job ID 14396831120 Date posted 09/14/2021

Primary Locations: Montreal, Quebec

Employee Status: Regular

Schedule: Full-time


  • Do you enjoy working in the field of securities operations and compliance?
  • Would you like to contribute to improving the organization’s compliance practices?
  • Would you like to provide expert advice to our partners and other parties?

As a senior compliance advisor, you'll be responsible for ensuring the proper functioning of the compliance framework, putting industry best practices in place, and supporting all sectors in the Operations, Investments group. Joining our team means growing in a dynamic environment that's constantly evolving.

This position reports to the Operational Compliance Manager – Operations, investments.

Your main responsibilities:

  • Ensuring that compliance policies are applied in the supported sectors through projects, reviews or specific cases
  • Answering regulatory questions from the supported teams and making decisions in specific cases
  • Heading compliance-related process changes with supported teams when specific decisions can influence future processes
  • Understanding business issues, identifying the needs of various parties, and proposing innovative strategies, keeping in mind the varied nature of files
  • Leading partner/compliance committees
  • Providing regulatory oversight for the sector by participating in compliance committees and projects
  • Ensuring that employees in Operations, Investments fully understand compliance obligations
  • Demonstrating a strong ability to influence partners in determining solutions
  • Documenting the standards and requirements applicable to the sector and keeping them up-to-date
  • Making recommendations when new processes are implemented to make sure that regulatory requirements are put into operation efficiently

  • Completed Bachelor's degree in a related field and 6 years of relevant experience, or completed Master's degree in a related field and 4 years of relevant experience
  • Legal professional title (CNQ, Barreau du QC), an asset
  • Completed Canadian Securities Course (CSC), or Canadian Investment Fund Operations Course (CIFOC), or Investment Funds in Canada (IFC), an asset
  • Sound knowledge of the compliance standards related to wealth management; an asset
  • Thorough knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and related regulations; an asset
  • Experience in compliance
  • Autonomy, initiative and good people skills
  • Drive, discipline and proactivity
  • Strong priority management and work organization skills
  • Bilingualism, both spoken and written (English and French), essential

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-DL1

JobField: Risk Management

Unposting Date: 2021-09-28

Job Number: COM000M9

Posting Date: 2021-09-14

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