Primary Locations: Montreal, Quebec
Employee Status: Regular
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 of truly passionate professionals and we are seeking an advisor to perform the trade conduct surveillance of derivative transactions of National Bank Financial Markets and its affiliates globally.
This position reports to the Derivatives Manager, Compliance Financial Market.
- Perform the trade conduct surveillance of derivatives (listed and OTC) conducted by the Financial Markets and Wealth Management divisions of National Bank in all operating jurisdictions in accordance with internal controls, procedures and regulatory requirements.
- Identify, document and communicate regulatory failures and risks. Obtain corresponding action plans and solutions.
- Conduct internal reviews and investigations and respond to regulatory enquiries.
- Prepare and present quarterly trade desk review reports and dashboards.
- Support and participate in deploying new business and regulatory projects, updating the surveillance program, reports and procedures, developing training and education programs to front line employees and ensure that new initiatives are delivered in compliance with regulatory obligations.
- Perform any other related tasks and activities.
- University degree in Finance or related field and 6 years of relevant experience with a Canadian Investment Dealer, Regulatory agency or Risk Advisory practice;
- Experience in financial markets and investment products;
- Successful completion of relevant Canadian courses; Canadian Securities Course (CSC®), Conduct & Practices Handbook Course (CPH), Branch Managers Course (BMC) or Partners, Directors & Senior Officers Course (PDO), Derivatives Fundamentals Course (DFC), Options Licensing Course (OLC), Options Supervisors Course (OPSC), Futures Licensing Course (FLC) and Canadian Commodity Supervisors Exam (CCSE);
- High level understanding of applicable Canadian laws and regulations as well of US laws is definitely an asset;
- Good knowledge of business operations, as well as compliance surveillance systems and software (Power BI, Business Object, Tableau Software, MS Office, Nasdaq Smarts);
- Excellent analytical, organizational and communication skills;
- Bilingual, spoken and written (English and French);
- Attention to details and thoroughness;
- Ability to adapt quickly to change in a fast-paced environment, manage multiple priorities with a strong solutions orientation; and
- 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.
Interested in the position? Apply now!
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: Risk Management
Unposting Date: 2021-05-18
Job Number: RIS00142
Posting Date: 2021-05-04