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Senior Compliance Officer Institutional Equities

Job Number
Senior Professional
Status: Permanent
Type of Contract
Schedule: Full-Time 
Full Time / Part Time?
Posting date
Location: New York, New York
New York
New York
Area of Interest: Risk management
A career as a Senior Compliance Officer, Institutional Equity Compliance Program and Trade Surveillance, you will be predominately responsible for the governance and oversight of our institutional equities and listed derivatives business activities. In this role, you can use your knowledge of FINRA, SEC, OCC blue sky requirements to have a positive impact on the organization.

National Bank of Canada Financial Inc. (“NBCFI”) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the compliance team led by the Chief Compliance Officer.

Your job

• Oversee and provide advice on NBCFI’s institutional equity compliance program (includes trading in equities, options, and ETF redemption/creation businesses) to ensure compliance with required rules, regulations, and interpretive guidance, which includes but is not limited to: Market Access; Reg NMS (including REG SHO); Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures; and Trade Reporting Requirements (CATS, BlueSheets, TRF, ACT, etc.).

• Develop and perform real time and post trade surveillance (using both automated and manual processes) for our institutional equities trading activities to monitor and investigate potential breaches in Federal Securities Laws (e.g., market and price manipulation), regulatory violations, and potential suspicious activity that can adversely affect our organization.

• Monitor registered trading personnel business conduct, including electronic communications.

• Advise the institutional equity group on new regulatory requirements, products, services, exchange memberships, and automated systems to assist with incorporating compliance requirements into these initiatives. Ensure the maintenance and improvement of an appropriate control environment to manage and mitigate regulatory risk. Work with all business units and internal partners to pro-actively identify key regulatory risk exposures and develop appropriate controls/action plans to manage and mitigate these risks.

• Assist with managing regulatory exams, investigations and inquiries conducted by FINRA, OCC, SEC, state and foreign regulators.

• Manage two-way communication between (active and passive) ETF market makers to assist in the creation and redemption process – across standard, negotiated/cash, and custom in-kind baskets (develop and oversee processes and documentation around custom baskets for compliance with new ETF rule).

NBCFI is a full-service investment banking and financial services company dual-headquartered in New York (with our parent bank headquartered in Montreal). We are a Securities and Exchange Commission (SEC) registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA), Options Clearing Corporation (OCC), and the Municipal Securities Rulemaking Board (MSRB).


• At least 7 years working for a broker-dealer, with at least 5 years of compliance experience

• Series 7 and 24 required; other regulatory licenses preferred

• Experience with US equity and derivative markets, products and services (including Exchange Trade Funds, Options, Market Making, and Direct Market Access) and knowledge of trading systems, flows, and strategies

• Proficient in US transaction monitoring systems

• Robust knowledge of and experience with FINRA, OCC, and SEC rules and experience coordinating broker-dealer regulatory exams and responses

Your benefits

Salary range in the US: $135,000-160,000 per year. Minimums and maximums may vary based on location. The salary range represents the salary range for this job in New York. This position is also eligible for variable annual compensation. The actual salary offer will carefully consider a wide range of factors, including your skills, qualifications, experience and other relevant factors. Local CAD salary range will apply for this job in Canada..

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.
• Medical, Dental, Vision insurance
• 401(k) retirement plan participation from day 1 with Employer matching contribution equal to 50% of your salary deferrals, up to 6% of your compensation for each pay period.
• Flexible Spending Accounts for Healthcare and Dependent Care
• Commuter / parking benefit and employer matching
• Wellness fund
• Short/ Long Term Disability
• Life Insurance
• Membership at gym within our Park Ave building
• Tuition reimbursement
• Paid Parental leave
• Employee and Family Assistance Program
• And more.

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.


Communication Compliance Management Diversity & Inclusion Empathy Equity Capital Markets Financial Markets FINRA Initiative Learning Agility Resiliency Risk and Compliance Reporting Series 24 Teamwork

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 offer a barrier-free workplace that is accessible 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.

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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?

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