Job details

A career as a Senior Trade Surveillance Advisor within the Compliance, Capital Markets team at National Bank means acting as a specialist in derivatives trade surveillance in a highly data driven and technology enabled environment. This role allows you to make a meaningful impact on market integrity and regulatory compliance by leveraging your expertise in trade surveillance, advanced data analysis, technical tools, and regulatory frameworks.

You will work in a fast paced and evolving environment where professional judgment, intellectual curiosity, strong analytical capabilities and collaboration with a wide range of partners are essential to collective success.

Your role

• Perform pre trade and post trade surveillance of listed derivative products across Canadian and U.S. exchanges using specialized surveillance tools and large scale transactional datasets.
• Analyze, investigate and document surveillance alerts by working with complex data sets to identify, assess and escalate potential compliance risks, while recommending appropriate corrective actions.
• Enhance the effectiveness of trade surveillance programs by improving controls, processes, analytical tools and systems to increase efficiency, refine detection logic and reduce false positives.
• Act as a subject matter expert in trade surveillance by supporting business lines, internal audits and regulatory examinations, including the preparation of data extractions, analyses and structured written responses.
• Collaborate closely with Data Analytics, Technology, Risk, Legal and Capital Markets teams to improve data quality, surveillance models, detection logic and regulatory coverage.
• Contribute to complex initiatives and projects related to derivatives, including the development or enhancement of data driven surveillance solutions, as well as updates to policies, procedures, investigations and training activities.

Your team

This position reports to the Senior Manager, Compliance, Trade Surveillance, Capital 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 strong backgrounds in compliance, trading and market focused analytics.

The diversity of skills and experience across the team creates a unique, challenging and educational environment where debate and discussion are key to achieving optimal results and maximizing talent. Trade Surveillance is currently expanding and is seeking professionals who are motivated to strengthen the current environment while contributing to improved efficiency and performance as the function evolves toward a more technical, automated and data driven model.

National Bank Capital Markets is a leading financial services firm providing investment banking services to a diversified client base that includes corporations, institutional customers and governments. The organization has operations in Toronto, Montreal, New York, London, Dublin, Hong Kong, Paris and Dubai.

Prerequisites

• A minimum of 3 to 5 years of relevant experience in trade surveillance, market risk or compliance analytics within a broker dealer, exchange, regulatory body or buy side firm.
• Strong working knowledge of order lifecycle management, trading workflows and market microstructure across listed derivative asset classes.
• Proficiency in SQL for querying large relational databases and demonstrated ability to leverage data for investigation, analysis and automation; experience with Python is considered a strong asset.
• Familiarity with one or more surveillance platforms (NICE Actimize, Nasdaq Smarts, Eventus, KX, etc.).
• Solid understanding of relevant regulatory frameworks, combined with the ability to translate regulatory requirements into analytical controls and surveillance logic.
• Ability to successfully complete the required CIRO courses and examinations (Supervisor Exam, Institutional Securities Exam and Derivatives Exam) within a reasonable timeframe, approximately one year following start date