Compliance Supervisor

A career as a Compliance Supervisor at National Bank is to act as the key resource in overseeing the Ontario East region’s compliance activities to ensure that all Wealth Advisors (WA’s) and branches respect and comply with the various firm policies and procedures as established by NBFWM’s Compliance Department as well as any industry regulatory requirements.

Location: Candidate may be located in either our Mississauga or London NBFWM locations.

Your role:

• Act as the Compliance liaison, for the Ontario East region, for the internal partners (Regional Manager, WA’s, Wealth Associates and Branch Administrators), other divisions as well as the external partners (Auditors and Regulatory organizations)
• Approval of documentation, including new accounts and client file updates, while ensuring compliance
• Approval of compliance activities, including marketing, outside business activities, and all other activities, as required by policy, procedure and regulation
• Manage Regulatory Risks of the region
• Identify compliance deficiencies, collect all relevant data and recommend corrective measures to Regional Managers
• Meet with Wealth Advisors to offer them training related to compliance responsibilities & requirements and to promote the use of the tools and processes developed to assist them
• Understand business issues and propose strategies in order to support the completion of activities, keeping in mind the varied nature of files
• Influence orientations in the area compliance and ensure the commitment of all parties involved
• Sit on committees, participate in special projects that demand a high level of expertise, and represent the Bank with various agencies and organizations

Requirements

• Completed Bachelor’s degree in a related field and six years’ relevant experience or completed Master’s degree in a related field and four years’ relevant experience
• A minimum of 2 years at a securities dealer acquiring extensive knowledge of various investment products, the financial markets, regulatory and internal environment
• Licensed as a Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
• Successful completion of the Investment Dealer Supervisors Course (IDSC) and become Supervisor licensed within 6 months of employment
• Proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
• Proficient knowledge of the following systems:  MS Office, ISM_T80, Creosus, Secured Zone

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Your benefits In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.

• Health and wellness program, including many options
• Flexible group insurance
• Generous pension plan
• Employee Share Ownership Plan
• Employee and Family Assistance Program
• Preferential banking services
• Initiatives promoting community involvement
• Telemedicine service
• Virtual sleep clinic

These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family. Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged. 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?