Advisor, Legal and Regulatory Compliance, Signature Service

October 05, 2020

(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, Legal and Regulatory Compliance, you help design, institute and coordinate the compliance framework and enforce related rules. You help ensure that measures, such as officer and employee conduct toward third parties, are in compliance with the applicable Desjardins Group standards (including anti money laundering).You provide advice and guidance to dedicated clients and partners as part of various significant intervention and development initiatives in your field. You propose solutions for improving or optimizing standards, policies and programs. The nature of the files and projects requires extensive knowledge of your field of activity.You develop recommendations, solutions and action plans in line with the organization's orientations and objectives. You help solve complex problems that require analysis and an in depth understanding of the line of business. Coordination is critical, and you frequently interact with various stakeholders who work in complementary fields of expertise. Interpersonal savvy is therefore essential.More specifically, As part of the development of wealth management advisory services, you serve as an expert in legal and regulatory compliance for securities with Desjardins Signature Services.

More specifically, as part of the development of wealth management advisory services, you serve as an expert in legal and regulatory compliance for securities with Desjardins Signature Services.

Main Responsibilities

  • Design, update, implement and monitor legal and regulatory compliance action plans, programs, solutions and tools to balance business needs, requirements and best practices
  • Diagnose issues, challenges and needs to determine target outcomes
  • Analyze information, carry out studies, and develop and propose recommendations to develop best practices for the organization
  • Help train internal practitioners, raise awareness and communicate information about our culture of ethics and compliance
  • Oversee business line activities
  • Help represent internal and external partners and practitioners
  • Represent your unit before committees, practitioners and organizational units.

Other working conditions

  • Possibility of an occasional or permanent home office
  • Number of jobs available : 3 

Qualifications

  • Bachelor's degree in a related field
  • A minimum of four years of a relevant experience

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

  • Approved by IIROC as supervisor of approved persons (registered representatives and investment representatives, retail clients)
  • For vacant positions available in Quebec, please note that knowledge of French is required 

Specific knowledge

  • Good knowledge of IIROC's regulatory framework
  • Proficient speaker, advanced knowledge of English.

Desjardins Cross-sector skills

Action oriented, Collaborates, Customer Focus, Innovation

Key competencies for the job

Business insight, Interpersonal Savvy

Work Location

Complexe Desjardins Montréal

Trade Union

Non Syndiqué

Unposting Date

2020-10-20

Job Family

Legal Affairs (FG)

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