Skip to content

Senior Advisor Compliance Trade Surveillance Derivatives

Attendance
Hybrid
Job number
22577
Category
Senior Professional
Status: Permanent
Type of Contract
Permanent
Schedule: Full-Time 
Full Time / Part Time?
Full-Time
Posting date
13-Sep-2024
Location: Montreal, Quebec
City
Montreal
Province/State
Quebec
Area of Interest: Risk management

A career as a Senior Advisor Trade Surveillance Advisor, Derivatives in the team of Compliance Trade Surveillance at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC.

Your role

  • Perform pre and post trade surveillance of Canadian derivative products that are listed on the Montreal Exchange
  • Identify, manage, and escalate potential regulatory failures and risks. Determine 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 pro-actively identify key regulatory risk exposures and develop appropriate controls to manage and mitigate these risks
  • Work closely with the Trade Surveillance Data Analytics team to ensure that data quality is consistently available, updated and maintained
  • Update the compliance program policies and procedures on an ongoing basis to account for changes in regulation and business
  • Optimize the effectiveness and the efficiency of the compliance monitoring program by reengineering the 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. Review new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligation.

Your Team

This position reports to the Senior Manager, Compliance, Trade Surveillance, Financial Markets. The 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. The varying skillsets and experiences on the team complement each other to create a unique, challenging, and educational environment where debate and discussion are key to generating optimal results and maximizing talent. Trade Surveillance is currently expanding and looking for professionals who are willing to enhance the current environment while also contributing to improving overall efficiency and performance as it shifts into a more technical and automated environment.

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 (Tableau Software, MS Office, Nasdaq Smarts)
  • Knowledge of Swap/OTC Transactions across multiple asset classes (Interest Rate, FX, Equity, Commodities, Credit Default) 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


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.


Languages:
French

Skills

Communication Compliance Derivatives Diversity & Inclusion Empathy Equity Capital Markets Equity Derivatives Financial Markets Initiative Learning Agility Resiliency Risk Analysis Risk and Compliance Reporting Teamwork Transaction Monitoring

Your benefits

In addition to competitive compensation, upon hiring you’ll be eligible for a wide range of flexible benefits to help promote your wellbeing and that of your family.

  • Health and wellness program, including many options
  • Flexible group insurance
  • Generous pension plan
  • Employee Share Ownership Plan
  • Employee and Family Assistance Program
  • Preferential banking services
  • Opportunities to get involved in community initiatives
  • Telemedicine service
  • Virtual sleep clinic
These are a few of the benefits available to you. We have an offer that keeps up with trends as well as your needs and those of your family. 

Our dynamic work environments and cutting-edge collaboration tools foster a positive employee experience. We actively listen to employees’ ideas. Whether through our surveys or programs, regular feedback and ongoing communication is encouraged.

We're putting people first:

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. Our core values of partnership, agility, and empowerment inspire us, and inclusivity is central to our commitments. We want to offer an accessible, barrier-free workplace to all employees.

We want our recruitment process to be fully accessible. If you require accommodation, feel free to let us know during your first conversations with us. We welcome all candidates! What can you bring to our team?

Come live your ambitions with us!

Why work at National Bank?

For an environment that supports your career path

There are many varied opportunities for you to progress and develop, and move ahead in your career. This includes on-the-job learning and training, co-development and pairing with other employees, professional support and mentoring, internal career days or discussion forums with our leaders.

See more

For an inclusive and diverse environment

We foster inclusion in an environment where each person’s unique qualities, whether visible or invisible, are celebrated and valued. We welcome all candidates! What can you bring to our team?

See more

Discover our culture

Duration: 1 min 25 sec
Flexibility
Flexibility
Wellbeing
Wellbeing
Development
Development
Inclusive Environment
Inclusive Environment

Join our talent community

Sign up to get information on what’s new for your career and our events.

Access your profile

Complete your profile for a personalized experience and search made easy with job alerts relevant to you.