Senior Advisor Compliance Trade Surveillance Derivatives
2 weeks ago
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.
- Maintain and improve an appropriate control environment to manage and mitigate regulatory risk associated with derivatives trading.
- Work with business units to proactively identify key regulatory risk exposures and develop 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 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 inquiries and examinations.
- Perform regulatory watch and participate in deploying new regulatory projects.
- Provide advice to the business line on trade conduct compliance, reviewing new products and activities to ensure compliance with regulatory obligations.
The Trade Surveillance team operates in a dynamic, live environment, composed of experienced, curious, and collaborative advisors with extensive backgrounds in compliance and trading. Our team is expanding, and we are looking for professionals who are willing to enhance our current environment while contributing to improving overall efficiency and performance as we shift into a more technical and automated environment.
Requirements- University degree in Finance or a 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.
National Bank is a leading financial services firm providing investment banking services to a diversified client base. We have operations in various locations and are committed to providing a positive impact on people's lives.
What We Offer- Competitive compensation
- A wide range of flexible benefits to promote your wellbeing and that of your family
- Opportunities to get involved in community initiatives
- Telemedicine service
- Virtual sleep clinic
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 people's lives. We want to offer an accessible, barrier-free workplace to all employees and welcome all candidates who share our values of partnership, agility, and empowerment.
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Montreal, Quebec, Canada National Bank Full timeRole OverviewAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeRole OverviewAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the Compliance Trade Surveillance team at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeNational Bank is seeking a skilled professional to join its Compliance Trade Surveillance team as a Senior Advisor Trade Surveillance Advisor, Derivatives. The successful candidate will be responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division. Key responsibilities include performing pre and...
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Montreal, Quebec, Canada National Bank Full timeNational Bank is seeking a skilled professional to join its Compliance Trade Surveillance team as a Senior Advisor Trade Surveillance Advisor, Derivatives. The successful candidate will be responsible for assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division. Key responsibilities include performing pre and...
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Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key Responsibilities:Perform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key Responsibilities:Perform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeAbout the RoleAs a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank, you will play a crucial role in assisting with trade surveillance, compliance monitoring, and testing for the Financial Markets division.Key ResponsibilitiesPerform pre and post-trade surveillance to ensure compliance with...
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Montreal, Quebec, Canada National Bank Full timeJob SummaryWe are seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team in the Financial Markets division of National Bank. As a key member of our team, you will play a critical role in assisting with trade surveillance, compliance monitoring, and testing.Key ResponsibilitiesPerform pre and post-trade surveillance of Canadian...
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Montreal, Quebec, Canada National Bank Full timeJob SummaryWe are seeking a highly skilled Senior Advisor to join our Compliance Trade Surveillance team in the Financial Markets division of National Bank. As a key member of our team, you will play a critical role in assisting with trade surveillance, compliance monitoring, and testing.Key ResponsibilitiesPerform pre and post-trade surveillance of Canadian...
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