Compliance Supervisor
National Bank of Canada based in Mississauga, ON is inviting applications from suitable candidates for the position of Compliance Supervisor. The National Bank of Canada is a prominent financial institution, offering a wide range of financial services including personal and commercial banking, wealth management, and investment banking. With a significant role in the country’s financial sector, it provides diverse products and solutions to meet the changing needs of its clients. The candidates selected for the vacancy will be required to start the work as soon as possible.
Job Description:
Employer Name: National Bank of Canada
Position: Compliance Supervisor
No of Vacancies: 1
Salary: Salary is not mentioned, $15.00-$20.00 hourly estimated salary
Employment Type: Permanent
Job Category: Senior Professional
Location: Mississauga, ON, CA
Schedule: Full-Time
Area of Interest: Risk management
Requisition ID/Job ID: 18529
Requirements:
Languages: Candidates must have knowledge of the English and French Language
Education: Candidates should have completed Bachelor’s degree in a related field
Experience: Candidates should have six years’ relevant experience or completed Master’s degree in a related field and four years’ relevant experience
Other Requirements:
- The candidates should be experienced for a minimum of 2 years at a securities dealer, acquiring extensive knowledge of various investment products, the financial markets, regulatory, and internal environment
- The candidates should be licensed as a Registered Representative (RR) with the Canadian Investment Regulatory Organization (CIRO)
- The candidates should be successful in completing the Investment Dealer Supervisors Course (IDSC) and become Supervisor licensed within 6 months of employment
- The candidates should have a proven ability to recognize the inherent risks and mitigating factors associated with a national Retail network
- The candidates should have proficient knowledge of the following systems: MS Office, ISM_T80, Creosus, Secured Zone
- The candidates should be proficient in communication, diversity, and inclusion
- The candidates should possess empathy and initiative
- The candidates should have knowledge of investment products for individuals and learning agility
- The candidates should demonstrate resiliency, understanding of securities regulation, and teamwork
Responsibilities:
- The candidates should be able to act as the key resource in overseeing the Ontario East region’s compliance activities as a Compliance Supervisor at National Bank
- The candidates should be able to ensure that all Wealth Advisors (WAs) and branches respect and comply with the various firm policies and procedures established by NBFWM’s Compliance Department as well as any industry regulatory requirements
- The candidates should be able to act as the Compliance liaison for the Ontario East region, coordinating with internal partners such as the Regional Manager, WA’s, Wealth Associates, and Branch Administrators, as well as other divisions and external partners like Auditors and Regulatory organizations
- The candidates should be able to approve documentation, including new accounts and client file updates, while ensuring compliance with policies, procedures, and regulations
- The candidates should be able to approve compliance activities, including marketing, outside business activities, and other activities as required by policy, procedure, and regulation
- The candidates should be able to manage Regulatory Risks of the region effectively
- The candidates should be able to identify compliance deficiencies, gather all relevant data, and recommend corrective measures to Regional Managers
- The candidates should be able to conduct training sessions for Wealth Advisors on compliance responsibilities and requirements, and promote the use of tools and processes developed to assist them
- The candidates should be able to understand business issues and propose strategies to support the completion of activities, considering the varied nature of files
- The candidates should be able to influence orientations in the area of compliance and ensure the commitment of all parties involved
- The candidates should be able to participate in committees, special projects requiring a high level of expertise, and represent the Bank with various agencies and organizations
Benefits:
- The candidate will get a health and wellness program, including many options
- The candidate will receive flexible group insurance
- The candidate will have access to a generous pension plan
- The candidate will be eligible for the Employee Share Ownership Plan
- The candidate will have access to the Employee and Family Assistance Program
- The candidate will receive preferential banking services
- The candidate will have opportunities to get involved in community initiatives
- The candidate will have access to a telemedicine service
- The candidate will have access to a virtual sleep clinic
How to apply:
If the position is fit for you and the basic requirements are fulfilled then you can now apply directly to the employer (along with your resume) through the below-mentioned details.
We thank all the applicants for showing their interest and trust in us, however, only the most eligible candidates will be selected and conducted for further procedure directly from employers, in between no charges/fees or original documents will be asked from any applicant. All the best!