A career as a Senior Advisor, Operational Compliance within the Optimization & Regulatory team in Capital Markets (CM) at National Bank means acting as a regulatory compliance expert, working closely with the first line of defense (CM Front Office and Operations) as well as second-line Compliance teams. This role is essential to ensure effective management of regulatory risks, adherence to applicable requirements, and successful implementation of initiatives related to regulatory changes.

Your Job

• Act as an expert and business partner for the Capital Markets sector, ensuring regulatory obligations are integrated into our processes, with specific expertise in:

  • Listed products and listed derivatives.
  • Market event and revenue management processes.
  • Transaction settlement processes.
  • Financial market infrastructures (clearing houses, central securities depositories, settlement systems, exchanges).

• Ensure documentation and governance of a robust control environment based on a risk-based approach.

• Maintain a reference library of applicable requirements and standards for CM Operations, while proactively monitoring upcoming regulatory changes to assess potential impacts.

• Develop strategic recommendations to reduce regulatory risks for the CM Front Office and Operations, in order to ensure operational efficiency and the quality of compliance-related information.

• Promote awareness and understanding of regulatory obligations among Capital Markets employees.

• Collaborate closely with internal and external partners to support operational performance and stability.

Your Team

Within the Optimization & Regulatory sector, you will join a team of five colleagues and report directly to the Managing Director. The team stands out for its expertise in processes, products, and capital markets regulations. Its mission is to ensure process compliance with ever-evolving regulatory requirements, while optimizing governance and control documentation to ensure operational robustness and information quality.

We operate in a collaborative culture, focused on risk management and compliance, anticipating regulatory impacts and proposing pragmatic solutions. We encourage continuous learning through hands-on experience, diverse training resources, and collaboration with colleagues from varied backgrounds and areas of expertise.

Basic Requirements

• Bachelor’s or Master’s degree in a related field.
• Experience in regulatory compliance.
• Knowledge of processes related to listed and derivative products.
• Strong ability to manage priorities and organize work.
• Autonomy, rigor, initiative, and interpersonal skills.
• Bilingualism in French and English (spoken and written) is essential, as you will regularly collaborate with colleagues outside Quebec.

Languages:

English, French

Reason to require this language: you will need to discuss frequently with our service providers or partners who speak a language other than French.

Skills

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Capital Markets Diversity & Inclusion Internal Audit Interpersonal Skills Organization Skills Regulatory Compliance Teamwork Empathy Initiative Learning Agility Resiliency Prioritization Rigor

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!