Senior Director, Governance (Hybrid)

Attendance Hybrid Job number 29123 Category Manager Status : Permanent Type of Contract Permanent Schedule : Full-Time Full Time / Part Time? Full-Time Posting date 22-Oct-2025 $ 160000 $ 200000 Salary :  $ 160000 - $ 200000 per year Area(s) of interest : Risk management Location(s) : New York

National Bank of Canada Financial Inc. (“NBCFI”) is a full-service investment banking and financial services company dual-headquartered in New York (with our parent bank headquartered in Montreal). We are a Securities and Exchange Commission (SEC) registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA), Options Clearing Corporation (OCC), and the Municipal Securities Rulemaking Board (MSRB). NBCFI engages an institutional securities business with institutional clients.

Essential Duties and Responsibilities :

• Supports the Compliance function in the design, implementation, and sustainment of controls within key processes and procedures
• Maintain the schedule of branch inspections and perform branch inspections as required by FINRA regulation
• Conducts regular risk assessments by evaluating inherent risks of business strategy and activities against the adequacy and effectiveness of established controls to determine residual risks and mitigants
• Evaluates business strategy and activities against risk appetite and provide management and stakeholders with sufficient and timely insight into the business and industry landscape
• Partners with Business to ensure risks are adequately identified, assessed, and develop risk mitigation strategies to manage current and emerging risk exposures across all risk categories and all business areas
• Delivers effective control testing and monitoring, documentation of results, and tracking execution of action plans to resolution to mitigate risks
• Provides effective challenge and guidance on compliance risks to business lines through various interactions and forums
• Prepares and provide key management information, metrics, analytics, and reporting to senior management and the Board of Directors to support informed decision-making and oversight
• Keeps abreast of industry regulations and updates, providing guidance to internal stakeholders
• Manages new and on-going regulatory projects.
• Leads and supports projects and initiatives to enhance NBCFI’s Compliance Program.
• Coordinates with the Corporate Compliance team to ensure that the requirements set forth in the subsidiary governance framework is adequately implemented
• Periodically review and update documents to ensure adherence to the Bank’s governance and compliance framework

Your team

National Bank of Canada Financial Inc. (“NBCFI”) is seeking to add a highly skilled Governance and Compliance Specialist to join the New York Compliance team lead by the Chief Compliance Officer. The role will entail leading the development and maintenance of governance framework for NBCFI, performing risk assessments, handling the branch inspection program, managing regulatory projects, tracking and managing regulatory and audit deliverables, and overseeing regulatory watch exercises.

The selected candidate will need to work in conjunction with compliance and business colleagues to ensure adherence to regulatory standard and industry best practices. The candidate must possess an in-depth understanding of compliance requirements driven by FINRA, SEC, MSRB, OCC, blue-sky regulations

Education, Licensing, and / or Experience :

Professional Qualifications and Business Competencies :

Languages : English

Skills

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Critical Thinking Diversity & Inclusion Emotional Intelligence Problem Solving Risk Management Stress Management Client-focused Decision Making Learning Agility Mobilization Partner Development Resiliency Strategy Execution Managerial Courage

In compliance with all states and cities that require transparency of pay, the base salary range for this position is : $160,000 - $200,000.

This position is eligible for variable compensation also.

The amounts indicated in this job offer are in U.S. dollars. 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.