Advisor, Business Conduct

June 01, 2021

(Work place: Montréal)

Desjardins Group is the largest cooperative financial group in Canada, and one of the largest employers in the country. It offers a full range of financial products and services and is home to a wealth of expertise in property and casualty insurance, life and health insurance, wealth management, services for businesses of all sizes, securities brokerage, asset management, venture capital, and secure, leading-edge virtual access methods.

Job Level

NV-09As Advisor, Business Conduct, you serve as a resource for matters relating to the application of laws, regulations, self regulatory organization rules and internal policies associated with securities and private wealth management. You act as a secondary compliance supervisor and work closely with other line supervisors.

General Information on the Position

More specifically, you're responsible for day‑to‑day monitoring and supervision in order to detect and report non‑compliance and shortcomings in internal controls, propose corrective measures and mitigate non‑compliance risks in the securities and private wealth management sectors.

Additional responsabilities

  • Monitor and oversee accounts to ensure securities industry standards are upheld, including those specific to managed, discretionary and option accounts.

  • Advise, train and coach business units, including branch managers, on compliance.

  • Collaborate on activities or mandates to ensure consistency and balance between business needs and regulatory requirements and best practices.

  • Identify and analyze potential regulatory risks, recommend mitigation measures and monitor progress on action plans.

  • Help practitioners interpret and implement compliance programs, policies, standards and procedures.

  • Participate in advocacy work with internal and external organizations and partners in collaboration with professionals in your unit.

  • Collaborate on projects or initiatives in your area of expertise.

  • Conduct research, studies and analyses specific to your field in order to generate recommendations or monitor business line activities.

Other working conditions

  • Work place : Currently on a regular telework basis due to the pandemic. Subsequently, to be located at a place of business. Telework terms to be reassessed at a later date.

  • Number of job available : 1

Qualifications

  • Bachelor’s degree in a related field

  • A minimum of 4 years of relevant experience

Please note that other combinations of qualifications and relevant experience may be considered

  • Canadian Securities Course, Conduct and Practices Handbook Course and Branch Managers Course

  • For vacant positions available in Quebec, please note that knowledge of French is required

Desjardins Cross-sector skills

Action oriented, Customer Focus, Differences, Nimble learning

Key competencies for the job

Business insight, Interpersonal Savvy

Work Location

1170, rue Peel Montréal

Trade Union

Non Syndiqué

Unposting Date

2021-06-15

Job Family

Legal Affairs (FG)

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