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Senior Advisor Compliance Trade Surveillance
3 months ago
A career as a **Senior Trade Surveillance Advisor, Swaps** in our Compliance Trade Surveillance team at **National Bank** offers you an exciting opportunity to contribute to the trade surveillance, compliance monitoring, and testing for the Financial Markets division of NBC.
This role allows you to make a positive impact on the organization and enhance overall performance and efficiency as we transition to a more technical and automated environment.
Your role:
- Perform pre and post trade surveillance of U.S. and Canadian Swap trades involving Interest Rate Derivatives, Foreign Exchange (FX), Commodities, Credit Default, and Equities
- Identify, manage, and escalate potential regulatory failures and risks
- Develop action plans and solutions
- Maintain and enhance a robust control environment to manage and mitigate regulatory risk associated with Swap trades
- Collaborate with business units and internal partners to identify regulatory risk exposures proactively
- Work closely with the Trade Surveillance Data Analytics team to ensure data quality is consistently maintained
- Update compliance program policies and procedures to comply with regulatory changes
- Optimize compliance monitoring program effectiveness and efficiency by enhancing compliance tools and surveillance systems
- Conduct internal reviews, investigations, and respond to regulatory inquiries
- Stay informed on regulatory changes and participate in new regulatory projects
Your team:** Senior Manager, Compliance, Trade Surveillance, Financial Markets** oversees this role. The Trade Surveillance team is a dynamic and specialized group of experienced advisors with diverse backgrounds in compliance and trading, fostering a challenging and educational environment that values debate and discussion.
**National Bank Financial Markets** is a top financial services firm offering investment banking services to a varied client base comprising corporations, institutions, and governments, with operations in various locations including Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong.
Requirements:
- University degree and minimum 5 years' experience in Compliance, with a strong focus on OTC and Derivatives trading
- Proficiency in compliance surveillance systems and software (Tableau Software, MS Office, Nasdaq Smarts)
- Programming skills in SQL and Python are advantageous
- Strong analytical, organizational, and communication skills
- Detail-oriented and thorough in work approach
- Team player, collaborative, and committed
Your benefits: In addition to competitive compensation, upon hiring you'll enjoy a range of flexible benefits such as health and wellness programs, group insurance, pension plan, Employee Share Ownership Plan, Employee and Family Assistance Program, preferential banking services, community initiatives, telemedicine service, and virtual sleep clinic.
We prioritize a positive employee experience with our dynamic work culture and cutting-edge collaboration tools, encouraging open communication and feedback.**National Bank** is recognized for its human-centered approach, entrepreneurial spirit, and dedication to people. Our values of partnership, agility, and empowerment drive us forward, ensuring inclusivity and accessibility for all employees. We are committed to providing a barrier-free workplace and an inclusive recruitment process. If you need accommodation, please let us know. We welcome diverse candidates to bring their ambitions and talents to our team.
