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United States Derivatives Trade Surveillance Advisor

Apply now Job ID 36167459296 Date posted 09/13/2022

Primary Locations: Montreal, Quebec; Toronto, Ontario

Attendance: Hybrid

Employee Status: Regular

Schedule: Full-time


National Bank is currently undergoing the most significant technological transformation in its history and has many career opportunities to offer. As a United States Derivatives Trade Surveillance Advisor for Compliance, Financial Markets you will be mandated to perform the trade conduct surveillance of Derivatives transactions of National Bank Financial Markets and its affiliates globally on United States regulated marketplaces.

**This position can be based in Montreal or in Toronto**

Your role :

  • Perform trade conduct surveillance of Derivatives transactions conducted on United States regulated markets by the Financial Markets and Wealth Management divisions of National Bank in all U.S. operating jurisdictions in accordance with internal controls, procedures and regulatory requirements.
  • Identify, document and communicate regulatory failures and risks, and develop corresponding action plans and solutions.
  • Conduct internal reviews & investigations and respond to regulatory inquiries.
  • Prepare and present quarterly trade desk review reports and dashboards.
  • Support and participate in the deployment of new business and regulatory projects such as updating surveillance programs, reports and procedures.
  • Participate in the development of 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.

This position reports to the Senior Manager, Trade Surveillance, Compliance 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 skill sets 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.  The Trade Surveillance department is currently expanding and looking for professionals who are willing to enhance the current environment while also contributing their input to improve overall efficiency and performance going forward.

We want to contribute to your quality of life by offering you as much flexibility as possible in your work. For example, we offer hybrid work (remote and in the office), work schedule arrangements to help you achieve work/life balance and flexible leave that you can take when it’s important to you.


Competencies required

  • University degree in Finance or related field and
  • 2 to 5 years of relevant experience with a Canadian or United States Investment Dealer, Regulatory agency or Risk Advisory practice is an asset
  • FINRA Series 7 and 24 courses
  • Experience in financial markets and investment products;
  • Successful completion of Canadian Securities Course (CSC®);
  • Excellent analytical, organizational and communication skills;
  • Ability to communicate effectively in French and in English (for dealing with English-speaking partners outside Quebec)

Preferred competencies :

  • Attention to details and thoroughness;
  • Experience with Nasdaq Smarts trade surveillance system in an asset
  • Successful completion of CFA Level I is an asset;
  • Good knowledge of business operations, as well as compliance surveillance systems and software (Power BI, Business Object, Tableau Software,) is an asset;
  • Programming skills (Excel Macros and VBA) is an asset
  • Ability to adapt quickly to change in a fast-paced environment, manage multiple priorities with a strong solution orientation;
  • A strong team player, collaborator and committed to personal excellence; and
  • Willingness to step outside comfort zones and expand knowledge base

National Bank, Financial Markets is a leading financial services firm that provides investment banking services to a diverse clientele that includes businesses, institutional clients and governments. The firm operates in Toronto, Montreal, Calgary, Vancouver, New York, London, Dublin and Hong Kong. We are proud of the continuous efforts deployed to attract and retain talent and provide them with an environment conducive to success in order to enable them to seize the development and career opportunities offered by our financial institution.

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
  • Initiatives promoting community involvement
  • 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 accommodations, feel free to let us know during your first conversations with us.

We welcome all candidates! What can you bring to our team?

 Ready to live your ambitions?

#LI-CB1

#LI-Hybrid

JobField: Risk Management

Unposting Date: 2022-09-27

Job Number: COM000OF

Posting Date: 2022-09-13

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