Senior Compliance Lead, Investment Banking & Fixed Income

Bnc; New York (NY); On-site; USD 140,000 - 155,000; Full time

Benefits offered by this job

401(k) retirement plan participation

Flexible spending accounts

Employee and Family Assistance Program

Flexible PTO and holidays

Wellness fund

Short and Long Term Disability

Life insurance

Job summary

National Bank of Canada Financial Inc. (NBCFI) in New York seeks a seasoned compliance professional to oversee the governance of our investment banking and fixed income units.

You will ensure adherence to FINRA, SEC, MSRB, OCC, and Blue Sky guidelines, and steer the compliance program across regulatory exams and reporting. You will collaborate with Legal, Compliance, Operations, and Business teams to implement policies, supervise control testing, and maintain ongoing regulatory maintenance

Qualifications

• Bachelor's degree; 5+ years at a broker-dealer with 3+ years in compliance.
• Series 7 and 24 required; other licenses preferred.
• Experience with institutional brokerage products and trading systems; cross-border activities.

Responsibilities

• Oversee and advise NBCFI’s institutional fixed income and investment banking compliance programs.
• Provide compliance oversight of fixed income trade reporting obligations and TRACE requirements.
• Support regulatory oversight efforts, including Written Supervisory Procedures and control testing.
• Integrate benchmarking to stay updated on laws and industry developments.
• Assist with regulatory exams, investigations, and inquiries; coordinate documentation and liaison with internal teams.
• Oversee Regulation M compliance program and Equity Sales Literature review.
• Conduct client onboarding (AML/CIP, Suitability) and supervise training for employees.
• Monitor employee activity for compliance with firm policies.
• Conduct annual SEC review of policies and procedures; track 15a-6 compliance.
• Review marketing materials to ensure regulatory compliance.

Skills

Regulatory compliance

FINRA/SEC knowledge

Exam coordination

AML onboarding

Excel skills

Written communication

Cross-functional partner

Education

Bachelor's Degree

Tools

Trading systems

Regulatory reporting tools

AML screening tools

Microsoft Excel

Job description

National Bank of Canada Financial Inc. (NBCFI) in New York seeks a seasoned compliance professional to oversee the governance of our investment banking and fixed income units.

You will ensure adherence to FINRA, SEC, MSRB, OCC, and Blue Sky guidelines, and steer the compliance program across regulatory exams and reporting. You will collaborate with Legal, Compliance, Operations, and Business teams to implement policies, supervise control testing, and maintain ongoing regulatory maintenance