Senior Financial Analyst

4 weeks ago


Montreal, Quebec, Canada National Bank Full time

Job Summary

We are seeking a Senior Financial Analyst to join our team at National Bank. As a Senior Financial Analyst, you will be responsible for assisting with surveillance and compliance monitoring for the Financial Markets division of NBC.

Key Responsibilities

  • Perform employee business conduct surveillance including voice and electronic communications reviews
  • Identify, investigate, and manage potential violations of regulatory business conduct standards
  • Update the compliance program policies, procedures on an ongoing basis to account for changes in regulation and new processes
  • Prepare and present reports and dashboards related to surveillance
  • Provide guidance and support to the Front, Middle and Back Offices in the interpretation of Canadian and US regulations applicable to business communications
  • Assist with regulatory examinations, as well as communications with internal audit teams as they relate to requests relating to the supervision of business communications
  • Assist with coordination and delivery of required compliance training and annual attestations for new and existing employees in NBFM businesses

Requirements

  • University degree in a related field and 1-3 years of relevant experience with a financial institution, regulatory agency or other financial markets intermediary repository
  • Excellent judgment required
  • Knowledge of financial markets sector required
  • Ability to pay attention to details and is thorough
  • Ability to interface with various levels of management
  • Excellent teamwork, interpersonal, and conflict resolution skills required

Language Skills

English, French

Why Join Us

National Bank is a leading financial services firm providing investment banking services to a diversified client base that includes corporations, institutional customers and governments. We have operations in various locations and are committed to providing a positive impact on peoples' lives.



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