Description
National Bank Independent Network (NBIN) is the leading choice of Introducing Brokers and Portfolio Managers looking for brokerage administration support. NBIN provides trading and custodial services to Portfolio Managers (PM) and is a Carrying Broker to CIRO registered Introducing Brokers (IB) across Canada. We are passionate about finding innovative solutions to complex problems, partnering with and helping independent wealth management firms grow their business.
Your role
As a Trade Desk Supervisor for the Wealth Management Trading Desk under NBIN, you will support CIRO regulation, trading inquiries, and client experience.
- Perform trade conduct surveillance of equity transactions conducted by the Wealth Management divisions of National Bank in accordance with internal controls, procedures, and regulatory requirements.
- Identify, document, and communicate regulatory failures and risks, and develop corresponding action plans and solutions.
- Conduct internal reviews and investigations and respond to regulatory inquiries.
- Prepare and present quarterly trade desk review reports and dashboards.
- Support and participate in the deployment of new business and regulatory projects such as updating surveillance programs, reports, and procedures.
- Participate in the development of training and education programs for front-line employees and ensure that new initiatives are delivered in compliance with regulatory obligations.
- Perform any other related tasks and activities.
Your team
Within the NBIN sector, you will be part of a team of two colleagues and report to the Senior Director. The team stands out for its commitment to client service excellence and regulatory rigor.
Prerequisites
- Bachelor’s degree related to the field and 5 years of relevant experience, or a master’s degree related to the field and 3 years of experience.
- Successful completion of the Canadian Securities Course (CSC®) and the Conduct and Practices Handbook (CPH®).
- Completion of other CSI or FINRA courses (an asset).
- Relevant experience with a Canadian securities dealer, a regulatory organization, or in a risk management consulting practice (an asset).
- Experience in trading, wealth management environments, financial markets, and investment products.
- Experience with the Nasdaq Smarts transaction monitoring system (an asset).
- Good knowledge of business operations as well as compliance monitoring systems and software (Power BI, Business Objects, Tableau Software, Fidessa) (an asset).
- Programming skills (Excel macros and VBA) (an asset).
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!
