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.