Senior Advisor Compliance Investigations Wealth Management

Original job posting

The role involves managing and executing regulatory investigation files to identify breaches of rules and policies within Wealth Management. It requires coordinating with Legal Affairs and Corporate Security to recommend corrective measures and ensure regulatory disclosure obligations are met.

Job details

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.Joining our team means growing in a dynamic, evolving context, where the work is stimulating and diverse. Your role: 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; Recommend appropriate corrective and disciplinary measures to the managers responsible for subject of the investigation; Ensure compliance with regulatory disclosure obligations and prescribed deadlines; Maintain communication between stakeholders and coordinate activities: Compliance, Legal Affairs, External Counsel, Corporate Security and Employee Relations to ensure the effective management of activities. Your team: The position reports to the Director of Investigations within the Compliance - Wealth Management and Financial Markets sector. Prerequisites: 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) Education or experience in investigation Canadian Securities Course (CSC) and Conduct Standards Manual (MNC) course, desirable; Excellent capacity for analysis and synthesis, rigor, critical thinking and recognized ability to identify and address complex issues. Languages: French, English Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French. Required skills: Compliance, Diversity & Inclusion, Empathy, Initiative, Learning Agility, Legal Compliance, Regulatory Investigations, Resiliency, Securities, Teamwork Your benefits 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 * 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 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 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!

What you’ll do

The role involves managing and executing regulatory investigation files to identify breaches of rules and policies within Wealth Management. It requires coordinating with Legal Affairs and Corporate Security to recommend corrective measures and ensure regulatory disclosure obligations are met.

Requirements

Candidates must have a Bachelor of Laws and 6 years of experience, or a Master's degree and 4 years of experience. Proficiency in both French and English is required, and certifications like the Canadian Securities Course are desirable.

Benefits

• Health and wellness program • 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

Listed skills

• Teamwork · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Compliance
• Diversity & Inclusion
• Empathy
• Initiative
• Learning Agility
• Legal Compliance
• Regulatory Investigations
• Resiliency
• Securities
• Teamwork

Job areas

• Legal
• Finance & Accounting
• Management & Leadership
• Security & Safety
• Consulting