Head of Compliance Nbfwm

A career as Senior Director, NBFWM Compliance, within the Wealth Management Compliance team at National Bank, means serving as a strategic leader in regulatory compliance, risk management and governance.

Through your engaging leadership, experience in a complex regulatory environment, entrepreneurial mindset and in-depth knowledge of the securities industry, you will have a positive impact on risk management, the evolution of the compliance program, strategic decision-making and the responsible growth of NBFWM.

Your role

• Lead the first-line and second-line compliance teams, as well as the investigations and internal review functions.
• Advise senior management and serve as the primary point of contact for NBFWM executives on regulatory compliance matters.
• Represent NBFWM before regulatory authorities and lead strategic and complex regulatory matters.
• Support transformation projects and business initiatives by ensuring rigorous management of regulatory risks.
• Work closely with Legal Affairs to resolve complex issues affecting the business line’s activities.
• Lead the modernization of the compliance program by leveraging innovation, data and emerging technologies, including artificial intelligence.
• Promote a strong, pragmatic and value-creating compliance culture while engaging teams in a constantly evolving environment.

Your team

Within the Risk Management sector, you will be part of the Wealth Management Compliance team and report to the Vice-President, Wealth Management Compliance. As the compliance leader dedicated to NBFWM, you will lead three distinct teams comprising first-line and second-line compliance professionals, as well as specialists responsible for investigations, internal reviews, surveillance, analysis and quality assurance.

In this role, you will maintain a close partnership with National Bank Financial Wealth Management executives and sit on the business line’s executive committee. You will play a key role in identifying and managing regulatory risks, supporting strategic initiatives and maintaining a strong compliance culture across the organization.

NBFWM is one of Canada’s largest investment dealers and is distinguished by its entrepreneurial business model. By supporting nearly 950 investment advisors with diverse business practices, our team actively helps balance business objectives, client expectations and regulatory requirements. We stand out through our expertise, influence, collaborative mindset and ability to develop practical solutions in a complex and constantly evolving environment.

We foster a variety of continuous learning opportunities to support your development, including hands-on learning, training content made available to you and collaboration with colleagues who bring diverse expertise and backgrounds.

This role offers a unique opportunity to work at the intersection of business, compliance, risk management and regulatory relations. You will collaborate regularly with senior executives, regulatory authorities and several strategic partners across the organization. You will also contribute to the evolution of the compliance function by influencing the practices, processes and tools that support NBFWM’s responsible growth.

Requirements

• Bachelor’s degree in a relevant field.
• At least 10 years of experience in the securities industry or risk management, including significant experience in team management and leadership.
• In-depth knowledge of investment dealer activities, NBFWM’s business environment and issues specific to wealth management.
• Strong command of the regulatory framework applicable to investment dealers and regulatory risk management practices.
• Experience managing complex regulatory matters and interacting with regulatory authorities.
• Demonstrated ability to exercise strategic judgment, make decisions in ambiguous situations and effectively influence senior stakeholders.
• Ability to thrive in an entrepreneurial environment, challenge the status quo and propose pragmatic solutions that balance business objectives and regulatory requirements.
• Professional designation: Membership in a Canadian law society, CPA or CFA designation is considered a significant asset.