Senior Compliance Analyst

2 weeks ago

Montreal, Quebec, Canada National Bank Full time
Job Title: Senior Analyst Compliance Financial Market

At National Bank, we are seeking a highly skilled Senior Analyst to join our Communications Surveillance team in the Financial Markets division. As a key member of our team, you will play a critical role in assisting with surveillance and compliance monitoring to ensure that our organization is in compliance with regulatory requirements and internal policies.

Your Key Responsibilities:
  • Perform employee business conduct surveillance, including voice and electronic communications reviews, to identify potential violations of regulatory business conduct standards.
  • Investigate and manage potential violations, updating our compliance program policies and procedures as needed to reflect changes in regulation and new processes.
  • Prepare and present reports and dashboards related to surveillance, providing guidance and support to our Front, Middle, and Back Offices on Canadian and US regulations applicable to business communications.
  • Assist with regulatory examinations and communications with internal audit teams, as well as coordinate and deliver required compliance training and annual attestations for new and existing employees in NBFM businesses.
Requirements:
  • University degree in a related field and 1-3 years of relevant experience with a financial institution, regulatory agency, or other financial markets intermediary repository.
  • Excellent judgment and knowledge of financial markets sector required.
  • Ability to pay attention to details and is thorough, with excellent teamwork, interpersonal, and conflict resolution skills.
  • Fluency in English and French, with the ability to discuss frequently with service providers or partners who speak a language other than French.
What We Offer:
  • Competitive compensation and a wide range of flexible benefits to 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.
About Us:

National Bank is a leading financial services firm providing investment banking services to a diversified client base. We have operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong. Our mission is to have a positive impact on peoples' lives, and our core values of partnership, agility, and empowerment inspire us. We want to offer an accessible, barrier-free workplace to all employees and welcome all candidates who share our values.

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