Senior Advisor Compliance

Banque Nationale du Canada$80K — $110K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • University degree and 3-4 years of experience in the securities industry with strong product knowledge.
  • Completion of the Canadian Securities course, Conduct Standards Manual course, and supervisor courses for securities dealers.
  • CIM or CFA Level 1 designation preferred but not required.
  • Excellent verbal and written communication skills for advising internal partners.
  • A strong inclination for providing fast and efficient service.

Responsibilities

  • Develop and control policies, standards, and procedures related to monitoring processes, including automation recommendations for efficiency.
  • Participate in committees and special projects, representing the Bank with various organizations and stakeholders.
  • Maintain a robust monitoring program while adapting practices to address current and future risks.
  • Identify high-risk situations and create varied analyses.
  • Serve as a resource for monitoring portfolio managers to enhance their effectiveness.
  • Protect investors, portfolio managers, and registered personnel in the risk management sector.

Benefits

  • Comprehensive health and wellness program with diverse options.
  • Flexible group insurance coverage.
  • Generous pension plan offerings.
  • Participation in the Employee Share Ownership Plan.
  • Access to an Employee and Family Assistance Program.
  • Preferential banking services for employees.
  • Opportunities for involvement in community initiatives.
  • Telemedicine services available for health consultations.
  • Access to a virtual sleep clinic for improved health and wellbeing.
Full Job Description
Your job

  • Ensure the development, implementation, documentation, follow-up and control of policies, standards and procedures related to monitoring, and make recommendations to automate current processes in order to increase their efficiency.
  • Participate in committees or special projects that require a high level of expertise, and represent the Bank with various organisations, bodies and stakeholders.
  • Ensure that the appropriate monitoring program is maintained while helping to develop our practises to cover current and future risks.
  • Detect high-risk situations and produce diversified analyses.
  • Act as a resource person for monitoring portfolio managers.
  • Ensure the protection of investors, portfolio managers and registered personnel in the risk Management sector.


Prerequisites
  • University degree and 3 to 4 years of experience in the securities industry and good product knowledge
  • Successful completion of relevant courses, including: Canadian Securities course, Conduct standards Manual course, course for securities dealer supervisors
  • Holding a CIM (CIM) or CFA level 1 designation is an asset
  • Ability to communicate effectively, verbally and in writing, to provide advice to internal partners
  • Propensity to offer fast and efficient service


Languages:

English, French

Reason to require this language: you will need to serve clients who speak a language other than French regularly.

Skills

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Artificial Intelligence Diversity & Inclusion Governance Risk and Compliance Political Communication Teamwork Wealth Management Cybersecurity Empathy Initiative Learning Agility Resiliency Governance

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.

About Banque Nationale du Canada

Banque Nationale du Canada Careers

Joining Banque Nationale du Canada presents a prime opportunity to be part of a team that values innovation, leadership, and diversity. As one of the leading financial institutions, the bank offers a variety of job opportunities that cater to a range of skills and professional aspirations.

Explore Career Opportunities

Banque Nationale du Canada is actively hiring and continually seeks passionate, creative, and solution-driven team players. Explore open positions that match individual skills and interests in the dynamic world of finance. From entry-level roles to executive positions, each career path at Banque Nationale du Canada is designed to foster growth and leadership.

Internship Programs

Kickstart a career in banking with Banque Nationale du Canada’s internship programs. These opportunities allow interns to work on real projects, gaining hands-on experience and valuable insights into the financial sector. Internships are a stepping stone to full-time employment and offer a robust platform for networking and professional development.

Employee Benefits and Culture

Banque Nationale du Canada is committed to supporting its employees through comprehensive benefits, diversity training, and a culture that promotes work-life balance. The company’s benefits package includes health, dental, and vision insurance, alongside retirement plans and paid time off. The inclusive culture at Banque Nationale du Canada ensures that all team members feel valued and respected.

Professional Growth and Development

The bank champions professional growth and offers numerous resources for career advancement, including workshops, seminars, and continued education programs. Employees at Banque Nationale du Canada are encouraged to harness their potential and advance their careers within the company.

Innovation and Industry Leadership

At the intersection of technology and financial services, Banque Nationale du Canada leads with innovative solutions that redefine banking. Employees are part of a forward-thinking team that leverages technology to enhance customer experiences and drive industry leadership.

Join the Team

Search for job opportunities that align with personal career goals at Banque Nationale du Canada. The company is looking for individuals who are curious, driven, and eager to make an impact in the financial industry.

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