Senior Analyst

National Bank; Toronto; On-site; CAD 80,000 - 100,000; Full time

Job summary

A leading financial services provider in Toronto is seeking a Senior Advisor for Account Transition Services. You will manage compliance projects and act as a Subject Matter Expert in account opening processes. The ideal candidate has over 7 years of experience and strong regulatory knowledge, with a focus on optimizing operations and fostering positive relationships internally and externally.

Benefits

Health and wellness program

Flexible group insurance

Generous pension plan

Employee Share Ownership Plan

Employee and Family Assistance Program

Preferential banking services

Qualifications

• 7+ years of relevant experience in financial services.
• Completion of Investment Dealers Supervisor course (IDSC), Derivatives Fundamentals and Options Licensing course (DFOL) and Options Supervisor Course (OSC).
• Strong ability to optimize and add value in duties.

Responsibilities

• Manage projects ensuring NBIN complies with regulations.
• Review, analyze and make decisions on account opening documentation.
• Lead various projects to improve processes within the team.

Skills

Regulatory knowledge

Analytical skills

Communication skills

Team collaboration

Excel proficiency

Education

Bachelor’s degree in a related field

Tools

Excel

Word

PowerPoint

Job description

Overview

National Bank Independent Network (NBIN) is a division of National Bank Financial, a wholly owned subsidiary of National Bank of Canada. NBIN is the premier provider of carrying broker, trading and custodial services to Portfolio Management (PM), CIRO registered Introducing Broker (IB) firm, Prime Brokerage (PB), and Investment Fund Management (IFM) firms across Canada. Visit www.nbin.ca for more details

Nature of the Role and Contribution

As a Senior Advisor, Account Transition Services (ATS), you have deep expertise in regulatory matters and the financial services industry. You will manage new projects and business initiatives to ensure that NBIN complies with the applicable regulations and risk management best practices. You will help promote a positive management culture within NBIN and will provide support as an expert to our IB, PM, PB and IFM firms.

The Senior Advisor will report to the Manager of Account Transition Services.

Your role

• Participate, as a member of the team’s leadership in setting targets and assisting the Account Transition Services team in achieving its objectives
• Review, analyze and make decisions on complex account opening documentation and supplementary forms, including but not limited to QI / FATCA documentation, Trust documentation etc.
• Review, in meticulous detail, is required for all submissions to ensure all accounts are approved or declined within the established service level agreement (SLA)
• Ability to identify and clearly articulate anomalies and opportunities for improving new and existing onboarding tools / platforms
• Assist in managing department projects; lead various projects required to meet our goals and make improvements to processes within the team and NBIN
• Analyzing monthly data to identify trends and provide insights that support strategic decision making to drive business performance
• Provide internal and external support as a Subject Matter Expert on the account opening process requirements
• Support audit mandates for NBIN
• Proactively develop and manage positive relations between ATS and other stakeholders such as Service, Legal and Compliance
• Assist in developing and documenting policy and procedures related to operations within NBIN to ensure compliance with regulatory requirement.

Prerequisites

• Bachelor’s degree in a related field and 7+ years’ relevant experience
• Completion of Investment Dealers Supervisor course (IDSC), Derivatives Fundamentals and Options Licensing course (DFOL) and Options Supervisor Course (OSC)
• Strong knowledge of regulatory environment in the financial services industry
• An ability to create efficiency, optimize, add value, and go above and beyond in normal duties
• Expert knowledge of Excel (working with large data sets, macros, pivot tables, etc.), Word and PowerPoint
• Strong analytical, problem-solving, and presentation skills
• Ability to work independently and in a team environment
• Strong communication skills in English, French would be an asset

Your benefits

• 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!