Compliance Supervisor

A career as a Compliance Supervisor within the Compliance services team at National Bank Financial (NBF) means acting as a specialist for centralized approvals on a national scale and providing support to regional supervisors. This role allows you to make a tangible impact by ensuring compliance with internal policies and regulatory requirements in the industry.

This position includes daily monitoring, regulatory approvals, and support for regional compliance activities to ensure that all wealth management advisors and branches adhere to the firm’s policies and procedures, as well as industry regulatory standards. Additionally, the Compliance Services team at NBF handles centralized monitoring tasks at head office to ensure regulatory obligations are met.

Your job 

• Mitigate regulatory and operational risks through rigorous review and approval of centralized compliance items
• Apply strong analytical judgment to assess complex scenarios, identify risk indicators, and determine appropriate compliance outcomes while balancing regulatory requirements and business needs
• Collaborate closely with regional compliance teams as a trusted business partner to identify, assess, and mitigate regulatory and operational risks within their regions
• Partner with senior leadership and operations teams to enforce internal policies and align with CIRO (Canadian Investment Regulatory Organization) standards
• Supervise client communications, including approving advertising materials, social media activities, and website content
• Ensure supervisory activities are conducted consistently and effectively, maintaining appropriate documentation and audit-ready records
• Champion continuous improvement initiatives that enhance team performance and strengthen Level 1 Surveillance processes.

Your team 

The Compliance Vice-Presidency includes more than 70 specialists who work in an agile, proactive, and collaborative manner to ensure regulatory compliance and continuously improve our processes.

Within this team, you’ll collaborate with a dynamic group of professionals to drive shared goals. Our culture fosters teamwork, excellence, and innovation, while providing the flexibility you need to maintain a healthy work-life balance.

The Bank values continuous development and internal mobility. Our personalized training programs, based on experiential learning, allow you to master your role and develop new areas of expertise.

Prerequisites

• Completed bachelor’s degree in a related field and at least three years of relevant experience
• Minimum of two years’ experience at a securities dealer, with strong knowledge of investment products, financial markets, and the regulatory environment
• Registered Representative (RR) or Investment Representative (IR) license with CIRO
• Successful completion of Investment Dealers Supervisors Course (IDSC), or within three months of hiring
• Strong organizational skills, time-management, and adaptability in a fast-paced environment, and solution-oriented analytical abilities
• Ability to identify industry-specific risks and implementing effective mitigation strategies.