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Form of workA career as a Compliance Supervisor on the National Bank Financial Compliance Team at National Bank is to act as a key resource in overseeing centralized approvals from across the country and replace the regional Compliance Supervisors during periods of absences. This job allows you to have a positive impact on the organization through your ability to recognize the inherent risks and mitigating factors associated with the industry.
Your role:
- Carry out the various compliance approvals in terms of advertising, use of social media networks, microsites (WA Website), additional centralized authorizations, if necessary
- Act as the Compliance liaison, for the various regions across the country, during the replacement of the Regional Compliance Supervisors (approval of documentation, including new accounts and client file updates, while ensuring compliance with policies and procedures, identifying deficiencies and ensuring proper escalation management, approval of compliance activities)
- Ensure the centralized approvals required at the Head Office level to make sure we meet our regulatory obligations
Basic requirements
- University degree in a related field and 3 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 an Investment Representative (IR) or Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
- Successful completion of the Investment Dealer Supervisors Course (IDSC) within 3 months of employment
- Strong organizational skills, ability to adapt to a rapidly changing environment
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
- Opportunities to get involved in community initiatives
- 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 accommodation, feel free to let us know during your first conversations with us. We welcome all candidates! What can you bring to our team?
Come live your ambitions with us!
