A career as a Senior Trade Surveillance Advisor, OTC and Swaps in our Compliance Trade Surveillance team at National Bank is to assist with the trade surveillance, compliance monitoring and testing to ensure that the Financial Markets division of NBC is adhering to CIRO’s OTC Business Conduct rules. 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 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. Trade Surveillance is currently expanding and looking for professionals who are willing to enhance the current environment while also contributing to improving overall efficiency and performance as it shifts into a more technical and automated environment.
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 in Finance or related field and a minimum 5 years’ experience in the Compliance field, with a strong background in OTC products
• Good knowledge of business operations and compliance surveillance systems and software (Tableau Software, MS Office, Nasdaq Smarts)
• OTC Trading experience is a valuable asset
• Programming knowledge, including but not limited to SQL and Python, a valuable asset
• Ability to adapt quickly to change in a fast-paced environment, and manage multiple priorities with strong problem-solving skills
• A strong team player, conscientious collaborator and committed to perform.

• Perform pre and post trade surveillance of Canadian OTC products, including swaps that involve underlying FX, interest rate, commodity and equity products
• Identify, manage, and assess potential compliance risks and failures, and propose appropriate action plans
• Maintain and enhance internal controls to manage and mitigate risks related to OTC and Swap transactions
• Collaborate with business units and internal partners to identify regulatory risk exposures and design appropriate control solutions
• Work with the Data Analytics team to ensure the quality and updating of surveillance data
• Update compliance policies and procedures in line with regulatory and business changes
• Optimize surveillance processes and tools to strengthen the compliance program’s effectiveness
• Conduct internal reviews and investigations and respond to regulatory enquiries and examinations