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Senior Compliance AdvisorNational Bank • Mississauga, Ontario, Canada
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Senior Compliance Advisor

National Bank
  • CA
    Mississauga, Ontario, Canada
  • CA
    Mississauga, Ontario, Canada
Jetzt Bewerben

Über

A career as a Senior Compliance Advisor involves collaborating with various stakeholders to contribute to activities in accordance with the compliance program of National Bank Independent Network (NBIN). You will support the business unit and act as a subject matter expert on various regulatory matters. This role allows you to make a positive impact on the organization through your risk management skills and your knowledge of the securities industry.
Your Role
  • Oversee compliance with the regulatory framework applicable to NBIN activities, including laws and regulations related to securities, the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA), international sanctions, and internal policies and procedures.
  • Identify situations that could expose NBIN and the Bank to regulatory and/or reputational risk and perform complex analyses to take action or make recommendations to management to mitigate risks.
  • Provide compliance advice in dealings with client firms, the delivery of new initiatives, and the management of complex cases, influencing decision-making.
  • Support NBIN in the implementation of regulatory projects.
  • Recommend and implement changes to NBIN policies and procedures (including drafting and implementing new policies when needed), based on evolving regulations and business needs.

Your Team Within the broader Compliance sector, you will be part of a team of two colleagues and report to the Senior Director, Compliance. Our team stands out for its expertise, rigor, drive to excel, and ability to maintain close relationships with business sectors. We encourage continuous learning through various approaches, including on-the-job learning, training content made available to you, and collaboration with colleagues from diverse backgrounds and expertise.
Prerequisites
  • University degree in a related field and ten years of relevant experience
  • Relevant experience in compliance
  • Experience in an advisory role
  • Strong knowledge of securities regulations (CIRO/CSA) and PCMLTFA
  • Knowledge of introducing broker / carrying broker relationships
  • Knowledge of Universal Market Integrity Rules (an asset)

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 such as:
* 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 * Involvement in community initiatives * Telemedicine service * Virtual sleep clinic
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 value employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication are encouraged.
Making a bold move in a people-first environment 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 people’s lives. Our core values of partnership, agility, and empowerment inspire us, and inclusion is central to our commitments. We aim, wherever possible, to provide a barrier-free and accessible environment to all employees.
We strive to provide accessibility measures throughout the recruitment process within the limits of our available resources. If you require accommodations, feel free to let us know during our initial conversations. We welcome all candidates! What can you bring to our team?
Join us!
  • Mississauga, Ontario, Canada

Sprachkenntnisse

  • English
Hinweis für Nutzer

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