Senior Compliance Advisor

5 days ago

Montreal, Quebec, Canada National Bank Full time
About the Role

We are seeking a highly skilled Senior Compliance Advisor - Derivatives to join our Trade Surveillance team at National Bank. As a key member of our team, you will play a critical role in ensuring the integrity of our derivatives trading operations.

Key Responsibilities
  • Trade Surveillance: Perform pre and post-trade surveillance of Canadian derivative products listed on the Montreal Exchange to identify potential regulatory failures and risks.
  • Compliance Monitoring: Monitor and test compliance with regulatory requirements, identifying areas for improvement and implementing corrective actions.
  • Regulatory Risk Management: Develop and maintain an effective control environment to mitigate regulatory risk associated with derivatives trading.
  • Collaboration: Work closely with business units to identify key regulatory risk exposures and develop controls to manage and mitigate these risks.
  • Data Quality: Ensure that data quality is consistently available, updated, and maintained in collaboration with the Trade Surveillance Data Analytics team.
  • Policy Development: Update compliance program policies and procedures to reflect changes in regulation and business.
  • Process Optimization: Optimize the effectiveness and efficiency of the compliance monitoring program by reengineering compliance processes.
  • Internal Reviews and Investigations: Conduct internal reviews and investigations, and respond to regulatory enquiries and examinations.
  • Regulatory Watch: Participate in deploying new regulatory projects and provide advice to the business line on trade conduct compliance.
About the Team

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.
  • Knowledge of Swap/OTC Transactions across multiple asset classes is a valuable asset.
  • Programming knowledge, including 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.
About National Bank

National Bank is a leading financial services firm providing investment banking services to a diversified client base that includes corporations, institutional customers, and governments.

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