Senior Analyst Compliance Financial Market

A career as a Senior Analyst in the Communications Surveillance team at National Bank is to assist with surveillance and compliance monitoring for the Financial Markets division of NBC.

This job allows you to have a positive impact on the organization by decreasing the firm’s regulatory risk through your diligent review of communications to ensure they respect and comply with regulatory requirements and NBC’s internal policies.

Your role

• Perform employee business conduct surveillance including voice and electronic communications reviews
• Identify, investigate, and manage potential violations of regulatory business conduct standards
• Update the compliance program policies, procedures on an ongoing basis to account for changes in regulation and new processes
• Prepare and present reports and dashboards related to surveillance
• Provide guidance and support to the Front, Middle and Back Offices in the interpretation of Canadian and US regulations applicable to business communications.
• Assist with regulatory examinations, as well as communications with internal audit teams as they relate to requests relating to the supervision of business communications.
• Assist with coordination and delivery of required compliance training and annual attestations for new and existing employees in NBFM businesses

National Bank, Financial Markets (NBFM) 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.

Basic requirements

• University degree in a related field and 1-3 years of relevant experience with a financial institution, regulatory agency or other financial markets intermediary repository.
• Excellent judgment required
• Knowledge of financial markets sector required
• Ability to pay attention to details and is thorough
• Ability to interface with various levels of management
• Excellent teamwork, interpersonal, and conflict resolution skills required

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
• Opportunities to get involved in community initiatives
• 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 accommodation, feel free to let us know during your first conversations with us.

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

Come live your ambitions with us!!