Senior Advisor Compliance Trade Surveillance
4 weeks ago
Perform pre and post trade surveillance of U.S. and Canadian Swap trades that include the following underlying products: Interest Rate Derivatives, Foreign Exchange (FX), Commodities, Credit Default and Equities Identify, manage, and escalate potential regulatory failures and risks. Determine corresponding action plans and solutions. Ensure the maintenance and improvement of an appropriate control environment to manage and mitigate regulatory risk associated with Swap trades Work with all related business units and internal partners to pro-actively identify key regulatory risk exposures and develop appropriate controls to manage and mitigate these risks Work closely with the Trade Surveillance Data Analytics team to ensure that data quality is consistently available, updated and maintained Update the compliance program policies and procedures on an ongoing basis to account for changes in regulation and business Optimize the effectiveness and the efficiency of the compliance monitoring program by reengineering the compliance processes and enhancing the compliance tools and surveillance systems Conduct internal reviews and investigations and respond to regulatory inquiries and examinations Perform a regulatory watch and participate in deploying new regulatory projects.
Your team
This position reports to the Senior Manager, Compliance, Trade Surveillance, Financial Markets. The Trade Surveillance team operates in a dynamic, live environment, and is composed of a specialized group of experienced, curious, and collaborative advisors with extensive backgrounds in compliance and trading. The varying skillsets and experiences on the team complement each other to create a unique, challenging, and educational environment where debate and discussion are key to generating optimal results and maximizing talent. National Bank Financial Markets is a leading financial services firm providing investment banking services to a diversified client base that includes corporations, institutional customers and governments. The firm has operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin and Hong Kong. Requirements :
University degree and minimum 5 years’ experience in the Compliance field, with a strong background in OTC and Derivatives trading Good knowledge of business operations, as well as compliance surveillance systems and software (Tableau Software, MS Office, Nasdaq Smarts) Programming knowledge, including but not limited to SQL and Python is a valuable asset Excellent analytical, organizational and communication skills; Attention to detail and thoroughness A strong team player, conscientious collaborator and committed to perform.
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.
Health and wellness program, including many options Flexible group insurance Generous pension plan Employee Share Ownership Plan Employee and Family Assistance Program Preferential banking services Opportunities to get involved in community initiatives Telemedicine service Virtual sleep clinic These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family. Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged. We're putting people first We're a bank on a human scale that stands out for its courage, entrepreneurial culture, and passion for people. Our mission is to have a positive impact on peoples' lives. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments. We offer a barrier-free workplace that is accessible to all employees. We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us. We welcome all candidates What can you bring to our team? Come live your ambitions with us
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