Description
A career as a Senior Analyst in the Risk team at National Bank Independent Network (NBIN), means acting as 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 of 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 Senior 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 (additional professional experience considered in lieu of a degree)
- 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
- Experience in writing policies and procedures
- Previous experience in Operational Risk or similar roles preferred (e.g. Compliance, Legal, Audit)
- Knowledge of brokerage operations and back-office processes preferred (account opening, trading, settlement, transfers, security deposits, etc.)
- French is an asset, but not required
