Associate or Associate Director, Regulatory

4 weeks ago


Montreal, Quebec, Canada NBC Full time

**Job Title:** Associate or Associate Director, Regulatory & Optimization in Financial Markets

 

Job Summary

National Bank (NBC) is seeking a highly skilled and experienced professional to join our team as an Associate or Associate Director, Regulatory & Optimization in Financial Markets. As a key member of our Financial Resource Management team, you will play a critical role in ensuring compliance with regulatory requirements and optimizing processes to minimize risks.

 

About the Role

As an Associate or Associate Director, Regulatory & Optimization in Financial Markets, you will be responsible for monitoring and ensuring compliance with regulatory requirements, developing close relationships with business units, and working closely with the Compliance team and Operational Risk Management to mitigate risks. Your duties will include:

  • Carrying out various projects and initiatives requiring in-depth knowledge of financial markets products, systems, and end-to-end processes
  • Contributing to the development and management of tools for monitoring & management of operational & regulatory risks
  • Participating in cross-functional investigations and assessments to improve the control environment of underlying processes
  • Ensuring the maintenance of first line-of-defense policies and procedures
  • Performing daily surveillance of the breach monitoring tool, investigating, documenting, and escalating breaches to management
  • Recommending and overseeing the implementation of relevant control enhancements to business / operational processes
  • Preparing steering committee reports to demonstrate compliance and provide advice on first line-of-defense obligations

 

About the Team

The Financial Resource Management team works closely with Traders and Financial Market sector Heads, advising them on the optimal allocation of financial resources available to them. The team oversees business development and evaluates related regulatory processes to maximize efficiency.

 

Requirements

To be successful in this role, you will need:

  • Bachelor's or master's degree in a related field and 6 to 10 years of relevant experience with a broker, a derivatives broker, or in an investment banking environment
  • Strong understanding of Financial Markets activities, including products and structures as well as the systems and processes that support them
  • Ability to quickly grasp key elements surrounding complex financial concepts embedded in complex processes
  • Proven ability to solve complex problems
  • Solution-oriented mindset, collaborative approach, and strong desire to learn
  • Strong interpersonal skills and ability to establish lasting working relationships with various FM business units and support sectors
  • Experience working within a financial regulatory organization or in managing operational or regulatory risk would be an asset

 

Language Skills

Language: English, French

 

Why Choose NBC?

National Bank is a leading financial services company offering investment banking services to a diverse clientele, including corporations, institutional clients, and governments. We have operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong. Our team is committed to fostering a positive employee experience and offers a wide range of ongoing learning opportunities for your development, including hands-on learning, training courses, and collaborating with colleagues who have varied expertise and profiles.

 

How to Apply

If you are a motivated and experienced professional looking for a new challenge, please submit your application along with your resume and cover letter. We thank all applicants for their interest; however, only those selected for an interview will be contacted.


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