Senior Advisor Compliance Trade Surveillance Derivatives

2 days ago

Montreal, Quebec, Canada National Bank Full time
Job Title: Senior Advisor Compliance Trade Surveillance Derivatives

Job 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 for the Financial Markets division of NBC.

Your Key Responsibilities:

  • Perform pre and post trade surveillance of Canadian derivative products listed on the Montreal Exchange.
  • Identify, manage, and escalate potential regulatory failures and risks, determining 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 proactively 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 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, reviewing new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligations.

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.

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.

What We Offer:

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, including health and wellness program, 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, and virtual sleep clinic.

Why Join Us:

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 want to offer an accessible, barrier-free workplace 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

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