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Operations Director

Apply now Job ID 13681981312 Date posted 09/02/2021

Primary Locations: New York, New York

Employee Status: Regular

Schedule: Full-time


What is the opportunity?

NBCFI is seeking a highly motivated operation analyst who is expected to manage larger and/or more complex daily tasks, independently solve complex problems on behalf of themselves and other team members, help recommend and implement ideas that improve the overall group performance.

Who are we?

With over $200 billion in assets, National Bank of Canada, together with its subsidiaries, forms one of Canada's leading integrated financial groups. It has more than 23,000 employees in knowledge-intensive positions and has been recognized numerous times as a top employer and for its commitment to diversity.

What will you do?

Senior Regulatory Reporting/Operations Analysts team will be responsible for handling regulatory reporting functions of the firm. This role interacts with several teams, including Billing, Accounting, Treasury, Client Service, Operations, Compliance, and Technology.

Specifically, the senior operation analyst is expected to: 
•    Provide Management and internal stakeholders with analysis and assessment results of the Regulatory process and control framework across all Operations’ functions.
•    Ensure that FM Operations is operating appropriately to accomplish compliance with US broker-dealer rules and regulations.
•    Conduct periodic (monthly, quarterly, annual) assessments of processes within the US broker-dealer to ensure compliance with regulatory requirements.
•    Coordinate regulatory / audit inquiries of Operations. Liaise with auditors and regulators and provide responses to requests.
•    Act as lead regarding emerging regulatory items impacting Operations. Partner with Compliance to review emerging regulatory items, implement any required changes, assist in supervisory control framework development, and set future assessment schedules.
•    Provide gap analysis, as required, to identify and close potential regulatory process supervisory control gaps.
•    Communicate with and educate Operations staff regarding regulatory obligations (direct and indirect) and responsibilities.
•    Analyze and manage improvements in front to back trade flow following the life cycle of a trade.
•    Experience with vetting and supervision of outsourcing arrangements.
•    Responsible for day-to-day operations with brokerage business and operational activities
•    Detailed understanding of securities rules and regulatory reporting, including but not limited to TRACE, CAT, Short Interest & Bluesheets. 

Who are we looking for?

Candidates must:
•    Bachelor’s degree in accounting, finance, administration, or related field.
•    6+ years of experience in broker-dealer operations.
•    Series 99 required within 90 days of employment.
•    Proficient in Excel, PowerPoint, Word and MS Outlook.
•    Hold a work authorization in the United States.


We are looking for candidates that possess:
•    Excellent attention to detail and an exceptionally high degree of initiative/adaptability.
•    Strong interpersonal skills, detail oriented, organized, proactive and have intellectual curiosity.
•    The ability to work with numerous and conflicting deadlines.
•    Be self-motivated and energetic.
•    Excellent verbal & written communication skills with the specific ability to communicate concepts and ideas concisely.
•    Ability to work under pressure and tight deadlines.
•    Outstanding ethics, integrity and judgement.
•    Ability to comfortably interact with partners in a professional and mature manner.
•    Ability to work independently as well as in a team environment.

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

Interested in the position? Apply now! 

Create an online profile and upload one .pdf file (maximum 2 GB – use a lower resolution if needed) that contains your cover letter, resume and copy of your most recent transcripts. 


BCFI is committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment. All employment decisions at NBCFI are based on business needs, job requirements and individual qualifications, without regard to race, color, religion or belief, national, social or ethnic origin, sex (including pregnancy), age, physical, mental or sensory disability, sexual orientation, gender identity and/or expression, marital, civil union or domestic partnership status, past or present military service, family medical history or genetic information, family or parental status, or any other status protected by the laws or regulations in the locations where we operate. NBCFI will not tolerate discrimination or harassment based on any of these characteristics. NBCFI encourages applicants of all ages.

JobField: Operations

Unposting Date: 2021-09-16

Job Number: OPE002RW

Posting Date: 2021-09-02

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