Senior Advisor Compliance Trade Surveillance Derivatives
4 days ago
A career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.
Your Role- Perform pre and post trade surveillance of Canadian derivative products that are listed on the Montreal Exchange
- 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 derivatives trading
- Work with all related business units 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
- Conduct internal reviews and investigations and respond to regulatory enquiries and examinations
- Perform a regulatory watch and participate in deploying new regulatory projects.
- Provide advice to the business line in terms of trade conduct compliance. Review new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligation.
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.
Trade Surveillance is currently expanding and looking for professionals who are willing to enhance the current environment while also contributing to improving overall efficiency and performance as it shifts into a more technical and automated environment.
Requirements- University degree in Finance or related field and a minimum 5 years' experience in the Compliance field, with a strong background in Derivatives trading
- Good knowledge of business operations, as well as compliance surveillance systems and software (Tableau Software, MS Office, Nasdaq Smarts)
- Knowledge of Swap/OTC Transactions across multiple asset classes (Interest Rate, FX, Equity, Commodities, Credit Default) is also a valuable asset
- Programming knowledge, including but not limited to SQL and Python is a valuable asset
- Ability to adapt quickly to change in a fast-paced environment, and manage multiple priorities with strong problem-solving skills
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.
Your BenefitsIn 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 FirstWe'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
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesAt National Bank, we're seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team. As a key member of our team, you'll play a critical role in ensuring the integrity of our derivatives trading operations.About the RoleWe're looking for a seasoned professional with...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesAt National Bank, we're seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team. As a key member of our team, you'll play a critical role in ensuring the integrity of our derivatives trading operations.About the RoleWe're looking for a seasoned professional with...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesJoin National Bank as a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team. This role is responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Your Role:Perform pre and post trade...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesJoin National Bank as a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team. This role is responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Your Role:Perform pre and post trade...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesJob Summary:We are seeking a highly skilled Senior Advisor Compliance Trade Surveillance Derivatives to join our team at National Bank. As a key member of our Compliance Trade Surveillance team, you will be responsible for assisting with trade surveillance, compliance monitoring, and testing...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesJob Summary:We are seeking a highly skilled Senior Advisor Compliance Trade Surveillance Derivatives to join our team at National Bank. As a key member of our Compliance Trade Surveillance team, you will be responsible for assisting with trade surveillance, compliance monitoring, and testing...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesAt National Bank, we are seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team in the Financial Markets division. As a key member of our team, you will play a critical role in assisting with trade surveillance, compliance monitoring, and testing.Key...
-
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesAt National Bank, we are seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team in the Financial Markets division. As a key member of our team, you will play a critical role in assisting with trade surveillance, compliance monitoring, and testing.Key...
-
Senior Compliance Trade Surveillance Advisor
2 days ago
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesA career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.Key Responsibilities:Perform pre and post...
-
Senior Compliance Trade Surveillance Advisor
2 days ago
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesA career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.Key Responsibilities:Perform pre and post...
-
Senior Trade Surveillance Advisor Derivatives
2 weeks ago
Montreal, Quebec, Canada National Bank Full timeNational Bank is seeking a skilled professional to join its Compliance Trade Surveillance team as a Senior Advisor Trade Surveillance Advisor, Derivatives. The successful candidate will be responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division. Key responsibilities include performing pre and...
-
Senior Trade Surveillance Advisor Derivatives
2 weeks ago
Montreal, Quebec, Canada National Bank Full timeNational Bank is seeking a skilled professional to join its Compliance Trade Surveillance team as a Senior Advisor Trade Surveillance Advisor, Derivatives. The successful candidate will be responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division. Key responsibilities include performing pre and...
-
Senior Trade Surveillance Advisor Derivatives
2 weeks ago
Montreal, Quebec, Canada National Bank Full timeRole OverviewAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
-
Senior Trade Surveillance Advisor Derivatives
2 weeks ago
Montreal, Quebec, Canada National Bank Full timeRole OverviewAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
-
Senior Compliance Trade Surveillance Advisor
2 days ago
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesA career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.Key Responsibilities:Perform pre and post...
-
Senior Compliance Trade Surveillance Advisor
2 days ago
Montreal, Quebec, Canada National Bank Full timeJob Title: Senior Advisor Compliance Trade Surveillance DerivativesA career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.Key Responsibilities:Perform pre and post...
-
Senior Trade Surveillance Advisor, Derivatives
3 weeks ago
Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key Responsibilities:Perform pre and post-trade surveillance to ensure compliance with...
-
Senior Trade Surveillance Advisor, Derivatives
3 weeks ago
Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key Responsibilities:Perform pre and post-trade surveillance to ensure compliance with...
-
Senior Trade Surveillance Advisor, Derivatives
3 weeks ago
Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
-
Senior Trade Surveillance Advisor, Derivatives
3 weeks ago
Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
