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. 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 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 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 setting, as well as a flexible and adaptable schedule. 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 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 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 Flexible group insurance Generous pension plan Employee and family assistance program Involvement in community initiatives Virtual sleep clinic Whether through our surveys or programs, regular feedback and ongoing communication are encouraged.

We’re a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our core values of partnership, agility, and empowerment inspire us, and inclusion is central to our commitments.

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