Senior Compliance Advisor

1 week ago

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

We are seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team at National Bank. As a key member of our team, you will play a critical role in assisting with trade surveillance, compliance monitoring, and testing for our Financial Markets division.

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.
  • Collaborate with the Trade Surveillance Data Analytics team to ensure data quality is consistently available, updated, and maintained.
  • Update 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 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 new initiatives are delivered in compliance with regulatory obligations.
About the Team

This position reports to the Senior Manager, Compliance, Trade Surveillance, Financial Markets. Our 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 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.
About National Bank

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.

What We Offer

In addition to competitive compensation, 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 programs, flexible group insurance, a generous pension plan, and more.

Join Our Team

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. We want to offer an accessible, barrier-free workplace to all employees. We welcome all candidates who share our values of partnership, agility, and empowerment.

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