Overview A career as a Senior Compliance Supervisor at National Bank means acting as a specialist in overseeing regional compliance activities to ensure that all Wealth Management Advisors (WMAs) and branches comply with the various policies and procedures established by NBC, as well as all industry regulatory requirements. You are also responsible for providing compliance support to Wealth Management, with an emphasis on managing regulatory, civil, and reputational risk for NBWM.
Your role Act as a compliance liaison with internal partners (Regional Director, WMAs, Wealth Management Advisors, and Administrative Assistants), as well as external partners (auditors and regulatory bodies)
Ensure first-line (Tier 1) oversight of advisors’ and branches’ compliance activities, in accordance with internal policies and regulatory requirements
Approve client account documentation and review and approve compliance-related activities, including conflicts of interest and outside activities
Conduct branch visits according to a pre-established schedule
Provide compliance expertise services to your region related to regulatory obligations, and respond to both routine and complex advisory requests
Promote a culture of risk identification and management, including documentation and management of high-risk files, escalations, and action plans




Build a culture of compliance through education by developing awareness and knowledge through ongoing support, communication, coaching, and employee training
Support the training and development of recent Compliance Supervisors
Participate in committees that support risk management governance
Your team Our team stands out for its field-based approach, close proximity to advisors, and ability to translate regulatory requirements into concrete and practical solutions. We aim to offer you maximum flexibility to support your quality of life. This is reflected in a hybrid work environment, as well as a flexible and adaptable schedule.
Prerequisites University degree and a minimum of 5 years of experience in compliance roles with a securities dealer
Minimum of 3 years of experience in a Compliance Supervisor role
Licensing requirement: The selected candidate must be approved as a supervisor under CIRO rules, including successful completion of the CIRO Supervisor Exam
Demonstrated ability to identify and mitigate compliance risks
Experience in audits, regulatory examinations, or investigations
Excellent knowledge of the industry regulatory framework
Positive attitude to promote a strong culture of compliance within the region served and within the compliance team

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📌 Senior Compliance Supervisor (Quebec City)
🏢 National Bank of Canada
📍 Quebec City