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Senior Advisor Compliance Trade Surveillance

Job Number
Senior Professional
Status: Permanent
Type of Contract
Schedule: Full-Time 
Full Time / Part Time?
Posting date
Location: Montreal, Quebec
Area of Interest: Risk management
A career as a Senior Trade Surveillance Advisor, Swaps in our Compliance Trade Surveillance team at National Bank is to assist with the trade surveillance, compliance monitoring and testing for the Financial Markets division of NBC. This job allows you to have a positive impact on the organization and to enhance the overall performance and efficiency, as we shift to a more technical and automated environment.

Your role:
  • Perform pre and post trade surveillance of U.S. and Canadian Swap trades that include the following underlying products: Interest Rate Derivatives, Foreign Exchange (FX), Commodities, Credit Default and Equities
  • 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 Swap trades
  • Work with all related business units and internal partners 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 and enhancing the compliance tools and surveillance systems
  • Conduct internal reviews and investigations and respond to regulatory inquiries and examinations
  • Perform a regulatory watch and participate in deploying new regulatory projects.

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.

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.

Requirements :
  • University degree and minimum 5 years’ experience in the Compliance field, with a strong background in OTC and Derivatives trading
  • Good knowledge of business operations, as well as compliance surveillance systems and software (Tableau Software, MS Office, Nasdaq Smarts)
  • Programming knowledge, including but not limited to SQL and Python is a valuable asset
  • Excellent analytical, organizational and communication skills; Attention to detail and thoroughness
  • A strong team player, conscientious collaborator and committed to perform.


  • Language: French

  • Language: English

Reason to require this language: you will need to work closely with our colleagues outside Quebec.


Capital Markets Derivatives Diversity & Inclusion Empathy Equity Capital Markets Equity Derivatives Financial Markets Foreign Exchange Trading Initiative Learning Agility Resiliency Risk Analytics Risk Management Supervisory banking regulations Teamwork

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 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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Discover our culture

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