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 new 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

Languages
French

Required skills
Compliance, Compliance Management, Regulatory Compliance Auditing, Regulatory Requirements, Regulatory risk identification, Risk Monitoring, Securities,



Standards Compliance, Teamwork, Undertakings For Collective Investment In Transferable Securities Directives, Working with Brokers

Your benefits

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 agile 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.

Making a bold move in a people‑first environment
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 people’s lives. Our core values of partnership, agility, and empowerment inspire us, and inclusion is central to our commitments. We aim, wherever possible, to provide a barrier‑free and accessible environment to all employees.

We strive to provide accessibility measures throughout the recruitment process within the limits of our available resources. If you require accommodations, feel free to let us know during our initial conversations. We welcome all candidates! What can you bring to our team?

Join us!

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