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 roleAct 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 requirementsApprove client account documentation and review and approve compliance‑related activities, including conflicts of interest and outside activitiesConduct branch visits according to a pre‑established scheduleProvide compliance expertise services to your region related to regulatory obligations, and respond to both routine and complex advisory requestsPromote a culture of risk identification and management, including documentation and management of high‑risk files, escalations, and action plansBuild a culture of compliance through education by developing awareness and knowledge through ongoing support, communication, coaching,



and employee trainingSupport the training and development of new Compliance SupervisorsParticipate in committees that support risk management governanceYour teamOur 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 adaptable and adaptable schedule.PrerequisitesUniversity degree and a minimum of 5 years of experience in compliance roles with a securities dealerMinimum of 3 years of experience in a Compliance Supervisor roleLicensing requirement: The selected candidate must be approved as a supervisor under CIRO rules, including successful completion of the CIRO Supervisor ExamDemonstrated ability to identify and mitigate compliance risksExperience in audits, regulatory examinations, or investigationsExcellent knowledge of the industry regulatory frameworkPositive attitude to promote a strong culture of compliance within the region served and within the compliance teamLanguagesFrenchRequired skillsCompliance, 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 BrokersYour benefitsHealth and wellness program, including many optionsFlexible group insuranceGenerous pension planEmployee Share Ownership PlanEmployee and family assistance programPreferential banking servicesInvolvement in community initiativesTelemedicine serviceVirtual sleep clinicWe 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 value employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication are encouraged.Making a bold move in a people‑first environmentWe’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!#J-18808-Ljbffr

📌 Compliance Supervisor (Winnipeg)
🏢 Caldwell Securities
📍 Winnipeg