A career as a Senior Advisor, Compliance Investigations, Wealth Management, at National Bank, means acting as a specialist in the identification and analysis of potential breaches of rules, policies and procedures from approved persons. This job allows you to have a positive impact on our organization thanks to your ability to recognize risks and ensure sound risk management.
Your role:- Ensure the management, execution and control of regulatory investigation files conducted by Compliance: identification of the mandate, potential breaches and applicable rules, policy and procedures, development of investigation plans and strategies, follow-ups, questioning of the relevant parties, maintain rigorous documentation and confidentiality, drafting and reviewing reports;
- Provide expertise in the context of investigation or litigation files mandated by Legal Affairs and of questions from our partners;
- Maintain investigation protocols/procedures to ensure proper and consistent management of files and manage litigation risk;
- Recommend appropriate corrective and disciplinary measures to the managers responsible for subject of the investigation;
- Ensure compliance with regulatory disclosure obligations and prescribed deadlines;
- Maintain communication between stakeholders and coordinate activities: Compliance, Legal Affairs, External Counsel, Corporate Security and Employee Relations to ensure the effective management of activities.
Your team :
The position reports to the Director of Investigations within the Compliance - Wealth Management and Financial Markets sector.
Prerequisites:
- Completed Bachelor of Laws degree, related to the industry and 6 years of relevant experience or Master's degree completed, related to the business line and 4 years of relevant experience
- Member of the Barreau (an asset)
- Education or experience in investigation
- Canadian Securities Course (CSC) and Conduct Standards Manual (MNC) course, desirable;
- Excellent capacity for analysis and synthesis, rigor, critical thinking and recognized ability to identify and address complex issues.
Languages: English, French
Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French.
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Diversity & Inclusion Legal Compliance Securities Teamwork Empathy Initiative Learning Agility Resiliency Compliance Regulatory Investigations
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.
