Senior Advisor Compliance Investigations Wealth Management Senior Professional Permanent Schedule: Full-Time Risk management, Legal A career as a Senior Advisor, Compliance Investigations, Wealth Management, at National Bank, means acting as a specialist in the identification and analysis of potential breaches of rules, policies and procedures from approved persons. This job allows you to have a positive impact on our organization thanks to your ability to recognize risks and ensure sound risk management. Ensure the management, execution and control of regulatory investigation files conducted by Compliance: identification of the mandate, potential breaches and applicable rules, policy and procedures, development of investigation plans and strategies, follow-ups, questioning of the relevant parties, maintain rigorous documentation and confidentiality, drafting and reviewing reports

- Provide expertise in the context of investigation or litigation files mandated by Legal Affairs and of questions from our partners
- Maintain investigation protocols/procedures to ensure proper and consistent management of files and manage litigation risk
- Ensure compliance with regulatory disclosure obligations and prescribed deadlines
- Compliance, Legal Affairs, External Counsel, Corporate Security and Employee Relations to ensure the effective management of activities. The position reports to the Director of Investigations within the Compliance - Wealth Management and Financial Markets sector.

Completed

Bachelor of Laws degree, related to the industry and 6 years of relevant experience or Master's degree completed,



related to the business line and 4 years of relevant experience Member of the Barreau (an asset) Excellent capacity for analysis and synthesis, rigor, critical thinking and recognized ability to identify and address complex issues.

Languages: Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French. Diversity & Inclusion Legal Compliance Securities Teamwork Empathy Initiative Learning Agility Resiliency Compliance Regulatory Investigations 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: 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. Why work at National Bank? This includes on-the-job learning and training, co-development and pairing with other employees, professional support and mentoring, internal career days or discussion forums with our leaders.

We foster inclusion in an environment where each person’s unique qualities, whether visible or invisible, are celebrated and valued.

National

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📌 Senior Advisor Compliance Investigations Wealth Management (Montreal)
🏢 Banque Nationale du Canada
📍 Montreal