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Analyst Compliance Financial Markets

Apply now Job ID 9096948272 Date posted 06/07/2021

Primary Locations: Montreal, Quebec

Employee Status: Regular

Schedule: Full-time

This position could be based in Montreal or Toronto

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.

We are expanding our team within the Financial Markets Compliance Control Room group and are seeking an analyst to join our team!

The Control Room is responsible for preserving the integrity of the firm’s information barriers and managing certain of its conflict of interests. It does so primarily by monitoring and controlling the flow of confidential information between the firm’s advisory side businesses (e.g., Corporate and Investment Banking, Equity and Debt Capital Markets teams) and public side businesses (e.g., Sales, Trading, Research, and Investment Management) and by monitoring employee trading and outside business activities.

We are looking for an analyst who loves a challenge, wants to innovate and would like to experience personal growth in a dynamic and multidisciplinary team. The analyst would support and help manage the Control Room’s surveillance program. This position will also support other Compliance special projects and regulatory initiatives from time to time.

Main Responsibilities

  • Interact with the Corporate and Investment Banking, and Securities Divisions in order to maintain the firm’s watch lists (grey and restricted lists)
  • Monitor and/or restrict sales, trading or research activities pursuant to certain legal, regulatory or policy considerations
  • Respond to queries from traders and sales people relating to trade restrictions
  • Monitor, pre-approve and facilitate communications between Equity Research and Corporate and Investment Banking Division personnel, including chaperoning telephone, email and in-person meetings to ensure compliance with Securities Regulations and firm policies
  • Support Research Supervisory Analysts to ensure compliance with certain legal and regulatory obligations regarding the firm’s Equity Research activities
  • Maintain certain research conflict disclosures
  • Coordinate barrier crossing requests and maintaining of barrier status lists
  • Monitor Financial Markets and certain support staff employee trading
  • Monitor and pre-approve outside business activities of all Financial Markets personnel

  • University degree in Law, Finance or related field and 1-3 years of relevant experience with a Canadian Investment Dealer, Regulatory agency or Risk Advisory practice
  • Good knowledge of (or willingness to learn about) business operations, as well as compliance surveillance systems and software (Power BI, Business Object, Tableau Software)
  • Good programming skills
  • Excellent analytical, organizational and communication skills
  • Attention to details and thoroughness
  • Ability to adapt quickly in a fast-paced environment, resourceful and solutions-oriented
  • Bilingual, spoken and written (English and French)
  • A strong team player, collaborator and committed to personal excellence

 The Bank has innovated by modernizing its performance evaluation system to better meet our clients’ evolving needs. From now on, the corporate values (expected behaviours) of partnership, agility and empowerment count as much as the business objectives. 

Working at National Bank means having access to competitive working conditions, a wide range of employee benefits, a dynamic work environment and telemedicine services. 

National Bank sees diversity as a great source of wealth and values it in all its dimensions. Its objective is to offer an open, respectful work environment where all employees can achieve their full potential. Senior management's concrete commitment helps spread this value across all sectors in the organization. The Bank has been ranked among the top employers for diversity in Canada for several years.


JobField: Operations

Unposting Date: 2021-06-21

Job Number: RIS00154

Posting Date: 2021-06-08

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