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Compliance Supervisor

Apply now Job ID 30137426832 Date posted 06/16/2022

Primary Locations: Vancouver, British Columbia

Attendance: Hybrid

Employee Status: Regular

Schedule: Full-time


Joining our team means growing in a dynamic, fast-paced environment where the work is challenging and diverse.

Being a Compliance Supervisor means investing in the implementation of effective solutions, new working methods to embody and better communicate our primary mission, which is risk management.

Your role

  • Act as the key resource in overseeing the British Columbia region's compliance activities to ensure that all Investment Advisors (IA's) and branches respect and comply with the various firm policies and procedures as established by NBF's Compliance department as well as any industry regulatory requirements
  • Act as the Compliance liaison for the internal partners (Regional Manager, IA's, Investment Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)
  • Act as a contact person with the various compliance monitors as well as internal partners (business line, operations, etc.) and respond to various requests associated with risk management by providing relevant and quality information
  • Perform approval of compliance activities, including advertising, external activities and all other activities as required by policies, procedures and regulations
  • Collaborate with partners from different teams to find solutions to complex scenarios
  • Establish and maintain effective communication with the various parties involved in the group's activities and ensure optimal relationships with them
  • Collaborate in the development and implementation of new systems and work processes and ensure the maintenance of technological tools as well as act as a change agent by promoting their adoption
  • Collaborate on projects that contribute to improving team efficiency and information sharing
  • Help in conceptualizing and redacting of training material

This position reports to the Director, Compliance - Business Conduct. Responsibilities may also evolve over the course of the position's mandate.


Competencies required

  • Bachelor's degree in finance, accounting or a related field (Law, Economics) and 4 to 6 years of relevant experience in securities industry
  • Registered Representative (RR) or Registered Investment Representative (IR) license with the Investment Industry Regulatory Organization of Canada (IIROC)
  • A minimum of 2 years experience with an investment dealer and a thorough knowledge of various investment products, financial markets and the regulatory environment
  • Successful completion of the Branch Managers and the Effective Management Seminar within 6 months of employment
  • Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
  • Excellent organizational and communication skills
  • Flexible and adaptable with a developed sense of creativity
  • Proven leadership skills and the ability to work under pressure
  • Proficient knowledge of the following systems:  MS Office, ISM_T80, Creosus, Secured Zone
  • Strong English language skills (bilingualism is considered a plus but not required)

This position will allow you to apply your knowledge of the securities industry while constantly learning given the broad scope of activities in the sectors served.

Preferred competencies

  • Ability to work under pressure
  • A team player and collaborator
  • Excellent organizational skills

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

#LI-Hybrid

JobField: Risk Management

Unposting Date: 2022-07-03

Job Number: COM000O6

Posting Date: 2022-06-23

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