Financial Markets Compliance Expert

2 weeks ago

Montreal, Quebec, Canada National Bank Full time
Senior Analyst Role in Financial Markets Surveillance

A challenging position awaits an experienced professional to assist with surveillance and compliance monitoring for the Financial Markets division of National Bank. This role offers a unique opportunity to have a positive impact on the organization by reducing regulatory risk through diligent review of communications.

Your key responsibilities will include:

  • Conducting employee business conduct surveillance, encompassing voice and electronic communications reviews.
  • Identifying, investigating, and managing potential violations of regulatory business conduct standards.
  • Updating compliance program policies and procedures to reflect changes in regulations and new processes.
  • Preparing and presenting reports and dashboards related to surveillance activities.
  • Providing guidance and support to various teams within the organization regarding Canadian and US regulations applicable to business communications.
  • Assisting with regulatory examinations and communications with internal audit teams as they relate to requests pertaining to business communication supervision.
  • Coordinating and delivering required compliance training and annual attestations for new and existing employees in NBFM businesses.

National Bank's Financial Markets division is a leading financial services firm providing investment banking services to a diverse client base comprising corporations, institutional customers, and governments. With operations in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin, and Hong Kong, we offer a global perspective and local expertise.

What We Offer

A competitive salary range of $120,000 - $180,000 per year, commensurate with experience, plus a comprehensive benefits package, including health and wellness programs, flexible group insurance, a generous pension plan, and opportunities for professional growth and development.

Requirements

  • A university degree in a related field and 1-3 years of relevant experience with a financial institution, regulatory agency, or other financial markets intermediary.
  • Excellent judgment and decision-making skills.
  • Knowledge of the financial markets sector and regulatory requirements.
  • Ability to pay close attention to details and be thorough in work.
  • Strong interpersonal and teamwork skills.

  • Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About SGS Société Générale de Surveillance SAWe are a leading provider of market surveillance solutions, dedicated to ensuring the integrity of global markets. Our team is comprised of experts in trade surveillance, compliance, and risk management.Our mission is to deliver innovative solutions that help our clients navigate complex regulatory...

  • Financial Markets Expert

    2 weeks ago

    Montreal, Quebec, Canada Aviso Wealth Full time

    Position OverviewAviso Wealth seeks a highly skilled Financial Markets Expert - Fund Trader to join its Trading team. The ideal candidate will possess extensive knowledge of financial markets and trading practices, with the ability to work independently and collaboratively as part of a dynamic team.

  • Financial Markets Expert

    7 days ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    Job SummaryWe are seeking a skilled Financial Markets Expert to join our Operations Financial Markets, Custody Services team at Banque Nationale du Canada.

  • Software Development Expert for Compliance Systems

    2 weeks ago

    Montreal, Quebec, Canada QUANTEAM - North America (RAINBOW PARTNERS Group) Full time

    **About the Company**QUANTEAM - North America, a leading consulting firm in Banking, Finance, and Financial Services, is part of RAINBOW PARTNERS Group. Guided by its core values of closeness, teamwork, diversity, and excellence, our team of 1,000 expert consultants collaborates across 10 international offices.We are seeking a skilled Software Developer with...

  • Business Risk and Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada Lantic Inc Full time

    Business Risk and Compliance ExpertAt Lantic Inc., we are currently seeking a highly skilled Business Risk and Compliance Expert to join our Finance team.We offer a competitive compensation package, including a salary range of $60,000 - $80,000 per year, plus comprehensive benefits and opportunities for career growth and development.Job SummaryThe Business...

  • Government Lawyer and Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada Barreau de Québec Full time

    Job DescriptionWe are seeking an experienced Government Lawyer and Compliance Expert to join our team at the First Nations Financial Management Board (FMB). As a key member of our organization, you will play a critical role in ensuring that our clients meet the necessary financial administration laws and regulations.The successful candidate will have a...

  • Financial Valuation Expert

    2 weeks ago

    Montreal, Quebec, Canada Baker Tilly Full time

    Job SummaryWe are seeking a skilled Financial Valuation Expert to join our Transaction and Financial Advisory (TFA) practice. As a critical member of our team, you will work at the forefront of high-profile engagements, leveraging your expertise in valuation to drive business outcomes.About the RoleThe successful candidate will be responsible for aiding in...

  • Compliance Officer

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    We are seeking an experienced Compliance Officer to join our team in Montreal, Canada.The ideal candidate will have a strong background in trade surveillance and general compliance, with 1-3 years of experience in the financial services industry.This is an exciting opportunity to work in a key area of Société Générale's Compliance program, interacting...

  • Trade Surveillance Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the RoleIn this exciting opportunity, you will join our Capital Market Surveillance team at Société Générale de Surveillance SA as a Trade Surveillance Compliance Expert. The team is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules, and regulations.As a key member...

  • Compliance Sales Director

    2 weeks ago

    Montreal, Quebec, Canada iA Financial Group Full time

    Job OverviewiA Financial Group is a leading player in the financial services industry, with over $200 billion in assets and half a billion invested in technological innovation. We're committed to supporting our employees and surrounding ourselves with reputable leaders.This role offers an exciting opportunity for a Compliance Sales Director to join our team....

  • Senior Financial Compliance Specialist

    4 days ago

    Montreal, Quebec, Canada Brain Finance Full time

    About BrainFinanceBrainFinance is a leading financial technology company that offers innovative and responsible credit solutions to consumers. Our mission is to redefine access to credit through the use of machine learning and automation capabilities, providing better and simpler financial services to everyone.We are an innovation labOur team consists of...

  • Sales Compliance Director

    1 month ago

    Montreal, Quebec, Canada iA Financial Group Full time

    About the RoleAs a key member of iA Financial Group, you will oversee sales compliance activities to ensure alignment with regulatory requirements and industry standards.Job OverviewThis role is responsible for staying current with regulations that oversee and enforce rules related to sales communications. You will coordinate different activities performed...

  • Compliance Monitoring Expert

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About SGS Société Générale de Surveillance SA:">We are a global leader in trade surveillance and compliance solutions, dedicated to helping financial institutions navigate complex regulatory landscapes.">Job Summary:">We are seeking an experienced Compliance Monitoring Administrator to join our team in Montreal. As a key member of our Trade Surveillance...

  • Cybersecurity Compliance Expert

    2 weeks ago

    Montreal, Quebec, Canada Mindsec Full time

    We are seeking a seasoned Cybersecurity Compliance Expert to join our team at Mindsec. With a strong background in technology risk management and compliance, you will play a critical role in helping our customers achieve and maintain compliance with industry standards.Job SummaryAs a Cybersecurity Compliance Expert, you will be responsible for providing...

  • Financial Planning Expert

    2 weeks ago

    Montreal, Quebec, Canada Scotiabank Full time

    We are seeking a highly skilled Financial Planning Expert to join our team at Scotiabank. This exciting opportunity is ideal for an individual with a strong background in the financial services industry and excellent client relationship building skills.About the RoleThe successful candidate will play a key role in managing relationships with our most...

  • Market Risk Compliance Specialist

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About Societe GeneraleSociete Generale de Surveillance SA is a global leader in market surveillance and compliance solutions, serving major financial institutions worldwide. Our team within the Compliance department focuses on monitoring security transactions and Firm communications to ensure adherence to industry rules and regulations.

  • Compliance Officer

    1 month ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About Our TeamSociete Generale de Surveillance SA's Capital Market Surveillance (CMS) team is a global force within the Compliance department, responsible for monitoring security transactions and Firm communications to ensure compliance with relevant policies, industry rules, and regulations.CMS comprises two surveillance teams, one focused on monitoring...

  • Compliance Officer Position: Regulatory Expert for Financial Surveillance

    4 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    Société Générale de Surveillance SA's Capital Market Surveillance team, a part of the Compliance department, is responsible for monitoring security transactions and Firm communications to ensure compliance with applicable regulations and industry rules.The US CMS Trade Surveillance team in the Montreal office is seeking an additional resource to support...

  • Financial Surveillance Expert

    2 weeks ago

    Montreal, Quebec, Canada SGS Société Générale de Surveillance SA Full time

    About the RoleAs a Financial Surveillance Expert at SGS Société Générale de Surveillance SA, you will be part of a global team responsible for monitoring security transactions and Firm communications to ensure compliance with applicable policies, industry rules and regulations.Key ResponsibilitiesYou will participate in the monitoring of security...

  • Strategic Director of Financial Reporting and Compliance

    2 weeks ago

    Montreal, Quebec, Canada Fed Finance Full time

    External Reporting and Accounting Policies ExpertAbout Fed Finance:Fed Finance is a leading recruitment agency specializing in temporary and permanent placements for accounting and finance professionals. Our consultants are experts with a deep understanding of the industry.Salary Information:We offer a competitive salary range of $120,000 - $180,000 per...