Senior Analyst

*** Please note that candidates can be based anywhere in Canada ***

As a Senior Analyst in the Risk team at National Bank Independent Network (NBIN), you’ll be an expert in managing operational risk within the financial services industry. You will perform operational risk oversight of NBIN processes through various tasks and activities. With your problem solving and analytical skills, your experience financial services and your knowledge risk management, you’ll have a positive impact on our business and our Portfolio Manager, Introducing Broker and Independent Fund Manager clients.

Your role: 

• Conduct due diligence reviews on new and existing clients
• Investigate fraud and privacy breaches and conduct AML transaction monitoring
• Respond to enquires, review and approve policy exceptions, and provide risk guidance to our clients and internal partners
• Perform Operational Event reporting, monitor U.S. resident trading, error accounts and comfort deposit accounts
• Collaborate with internal partners such as Compliance, Legal, Operations, and Wealth Management Risk to create or improve policies, procedures, and controls
• Lead and/or assist with various projects related to process improvements, audit, and other regulatory requirements
• Prepare and deliver communications and training material on Risk matters for NBIN employees and clients

Your team: 

The Senior Analyst will report to the Manager, Risk. The NBIN Risk team is responsible for operational risk oversight within NBIN. Operational risk is comprised of fraud risk, information security risk, execution risk, legal risk, regulatory risk, business continuity risk, and IT business interruption risk. NBIN is a division of National Bank Financial Inc, a wholly owned subsidiary of National Bank of Canada. NBIN) is the premier provider of carrying broker, trading and custodial services to Portfolio Managers, Introducing Brokers, and Investment Fund Managers across Canada.

We want to contribute to your quality of life by offering flexibility in your work. We offer hybrid work (remote and in office), work schedule arrangements to help you achieve work/life balance and flexible leave that you can take when it's important to you.

We offer a wide range of ongoing learning opportunities for your development, including hands-on learning, training courses and collaborating with colleagues who have varied expertise and profiles.

Prerequisites:

• 4+ years experience within the financial services industry, with experience in a brokerage / CIRO regulatory environment preferred
• University degree and/or Chartered Financial Analyst designation
• Expert knowledge of Excel (working with large data sets, macros, pivot tables, etc.), Word and PowerPoint
• Strong analytical, problem-solving, communication and presentation skills
• Ability to work independently and in a team environment
• Ability to lead, create efficiency, optimize, add value, and go above and beyond in normal duties

Preferred:

• Previous experience in Operational Risk or similar roles (e.g. Compliance, Legal, Audit)
• Knowledge of brokerage operations and back-office processes (account opening, trading, settlement, transfers, security deposits, etc.)
• Experience in writing policies and procedures
• Canadian Securities Course (CSC); Conduct and Practices Handbook Course (CPH)
• French is an asset, but not 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!