Area(s) of interest: Wealth management, Risk management

Location(s): Brossard

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 Associates, 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 current Compliance Supervisors

Participate in committees that support risk management governance

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

Languages:

French

Skills

Compliance Management

Regulatory Requirements

Securities

Teamwork

Working with Brokers

Regulatory Compliance

Auditing Standards

Compliance

Regulatory risk identification

Compliance Risk Monitoring

Undertakings for Collective Investment

Transferable Securities Directives

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

Employee Share Ownership Plan

Employee and family assistance program

Preferential banking services

Involvement in community initiatives

Virtual sleep clinic

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📌 Senior Compliance Supervisor (Quebec City)
🏢 Banque Nationale du Canada
📍 Quebec City