Senior Compliance Officer, Market Surveillance (Derivatives Compliance)

Full Time

International Banking Client

Office Status: Remote

We are expanding our team of truly passionate professionals and we are seeking a senior compliance officer to conduct market surveillance on listed and OTC derivative transactions of National Bank Financial Markets.

Main Responsibilities:

  • Oversee the trading activities of bank and its affiliates on futures, options and swap markets to ensure compliance with regulatory requirements. Help refine and execute a surveillance program of derivative transactions on US exchanges and Swap Execution Facilities. Identify, investigate and manage potential violations and disorderly trading.
  • Monitor position limits and employee business conduct including voice and electronic communications and marketing material.
  • Identify, manage and escalate regulatory failures and risks. Obtain corresponding action plans and solutions. Conduct internal reviews and investigations and respond to regulatory enquiries and examinations.
  • Update the compliance program policies, procedures on an ongoing basis to account for changes in regulation and new business; Optimize the effectiveness and the efficiency of the compliance monitoring program by reengineering the compliance processes and enhancing the compliance tools and surveillance systems.
  • Prepare and present quarterly trade desk review reports and dashboards.
  • Perform a regulatory watch and participate in deploying new regulatory projects.
  • Provide advice to the business line in terms of market conduct compliance. Review new products and activities to ensure that new initiatives are delivered in compliance with regulatory obligations.
  • Develop training and education programs to front line employees and support functions.

QUALIFICATIONS:

  • University degree in Finance or related field and 6 years of relevant experience in surveillance or trading with a US broker dealer, Futures Commission Merchant, Swap dealer or regulatory agency.
  • Strong understanding of applicable US laws and regulations applicable to listed and OTC derivatives.
  • Good knowledge of business operations, as well as compliance surveillance systems and software; good programming skills.
  • Excellent analytical, organizational and communication skills; Attention to detail 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.
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