Senior Operations Analyst

National Bank of Canada; New York (NY); On-site; USD 100,000 - 225,000; Full time

Job summary

National Bank of Canada is seeking a Senior Operations Analyst to manage complex tasks within the Operations team. This role involves ensuring compliance with regulatory requirements, working with various internal stakeholders, and enhancing overall operational performance. Requirements include a Bachelor's degree and substantial experience in broker-dealer operations, along with a focus on detail and integrity.

Benefits

Medical, dental, vision insurance

401(k) retirement plan with employer matching

Flexible PTO and paid holidays

Tuition reimbursement

Paid parental leave

Qualifications

• 4+ years of experience in broker-dealer operations.
• Series 99 required within 90 days of employment.
• Knowledge of regulatory reporting requirements such as CAT, Blue sheets, Short Interest.

Responsibilities

• Provide analysis and assessment results of the Regulatory process.
• Ensure compliance with US broker-dealer rules and regulations.
• Coordinate regulatory/audit inquiries of Operations.

Skills

Attention to detail

Initiative

Interpersonal skills

Organization

Verbal communication

Written communication

Adaptability

Integrity

Judgement

Education

Bachelor's degree in accounting, finance, administration or related field

Tools

Excel

PowerPoint

Word

MS Outlook

Job description

Join to apply for the Senior Operations Analyst role at National Bank of Canada

Join to apply for the Senior Operations Analyst role at National Bank of Canada

A career as a Sr Operations Analyst on the Operations
team at National Bank means managing larger and/or more complex daily tasks,
independently solving complex problems on behalf of themselves and other team
members, helping recommend and implement ideas that improve the overall group
performance.

• Provide Management and internal stakeholders with
  analysis and assessment results of the Regulatory process and control framework
  across all Operations’ functions
• Ensure Global Operations is operating appropriately to
  accomplish compliance with US broker-dealer rules and regulations
• Work with internal stakeholders regarding new business
  initiatives and internal governance process
• Conduct periodic (monthly, quarterly, annual)
  assessments of processes within the US broker-dealer to ensure compliance with
  regulatory requirements
• Coordinate regulatory / audit inquiries of Operations.
  Liaise with auditors and provide responses to requests.
• Act as lead regarding emerging regulatory items
  impacting Operations. Partner with Compliance to review emerging regulatory
  items, implement any required changes, assist in supervisory control framework
  development, and set future assessment schedules
• Provide gap analysis, as required, to identify and
  close potential regulatory process supervisory control gaps
• Communicate with and educate Operations staff
  regarding regulatory obligations (direct and indirect) and responsibilities
• Analyze and manage improvements in front to back trade
  flow following the life cycle of a trade.

Your team

You will be part of a team of the US Operations team
reporting to Chief Operations Officer. Senior Operations Analyst will be
responsible for the supervision of NBCFI and handling of regulatory reporting
functions for the Bank. This role interacts with several teams, including
Treasury, Accounting, Billing, Sales & Trading, Client Service, Operations,
Compliance, and Technology.

Our training programs use on-the-job learning to help
you master your role. You can access personalized training content on such
topics as banking solutions and the advisory approach to support your ongoing
learning. You’ll also have access to colleagues with a wide range of
expertise, experience and backgrounds to enrich all aspects of your
development.

Basic Requirements

• Bachelor’s degree in accounting, finance,
  administration, or related field.
• 4+ years of experience in broker-dealer operations.
• Series 99 required within 90 days of employment.
• Knowledge of regulatory reporting requirements i.e.;
  CAT, Blue sheets, Short Interest etc.
• Proficient in Excel, PowerPoint, Word and MS Outlook.
• Eligible to work in the United States for any
  employer.

We are looking for candidates that possess:

• Excellent attention to detail and an exceptionally
  high degree of initiative/adaptability.
• Strong interpersonal skills, detail oriented,
  organized, proactive and have intellectual curiosity.
• The ability to work with numerous and conflicting
  deadlines.
• Be self-motivated and energetic.
• Excellent verbal & written communication skills
  with the specific ability to communicate concepts and ideas concisely.
• Ability to work under pressure and tight deadlines.
• Outstanding ethics, integrity and judgement.
• Ability to comfortably interact with partners in a
  professional and mature manner.
• Ability to work
  independently as well as in a team environment.

A career as a Sr Operations Analyst on the Operations
team at National Bank means managing larger and/or more complex daily tasks,
independently solving complex problems on behalf of themselves and other team
members, helping recommend and implement ideas that improve the overall group
performance.

Your job

• Provide Management and internal stakeholders with
  analysis and assessment results of the Regulatory process and control framework
  across all Operations’ functions
• Ensure Global Operations is operating appropriately to
  accomplish compliance with US broker-dealer rules and regulations
• Work with internal stakeholders regarding new business
  initiatives and internal governance process
• Conduct periodic (monthly, quarterly, annual)
  assessments of processes within the US broker-dealer to ensure compliance with
  regulatory requirements
• Coordinate regulatory / audit inquiries of Operations.
  Liaise with auditors and provide responses to requests.
• Act as lead regarding emerging regulatory items
  impacting Operations. Partner with Compliance to review emerging regulatory
  items, implement any required changes, assist in supervisory control framework
  development, and set future assessment schedules
• Provide gap analysis, as required, to identify and
  close potential regulatory process supervisory control gaps
• Communicate with and educate Operations staff
  regarding regulatory obligations (direct and indirect) and responsibilities
• Analyze and manage improvements in front to back trade
  flow following the life cycle of a trade.

Your team

You will be part of a team of the US Operations team
reporting to Chief Operations Officer. Senior Operations Analyst will be
responsible for the supervision of NBCFI and handling of regulatory reporting
functions for the Bank. This role interacts with several teams, including
Treasury, Accounting, Billing, Sales & Trading, Client Service, Operations,
Compliance, and Technology.

Our training programs use on-the-job learning to help
you master your role. You can access personalized training content on such
topics as banking solutions and the advisory approach to support your ongoing
learning. You’ll also have access to colleagues with a wide range of
expertise, experience and backgrounds to enrich all aspects of your
development.

Basic Requirements

• Bachelor’s degree in accounting, finance,
  administration, or related field.
• 4+ years of experience in broker-dealer operations.
• Series 99 required within 90 days of employment.
• Knowledge of regulatory reporting requirements i.e.;
  CAT, Blue sheets, Short Interest etc.
• Proficient in Excel, PowerPoint, Word and MS Outlook.
• Eligible to work in the United States for any
  employer.

We are looking for candidates that possess:

• Excellent attention to detail and an exceptionally
  high degree of initiative/adaptability.
• Strong interpersonal skills, detail oriented,
  organized, proactive and have intellectual curiosity.
• The ability to work with numerous and conflicting
  deadlines.
• Be self-motivated and energetic.
• Excellent verbal & written communication skills
  with the specific ability to communicate concepts and ideas concisely.
• Ability to work under pressure and tight deadlines.
• Outstanding ethics, integrity and judgement.
• Ability to comfortably interact with partners in a
  professional and mature manner.
• Ability to work
  independently as well as in a team environment.

The amounts indicated in this job offer are in U.S. dollars.


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.

* Medical, dental, vision insurance
* 401(k) retirement plan participation with employer matching contribution
* Flexible spending accounts for healthcare and dependent care
* Employee and Family Assistance Program
* Flexible PTO and company paid holidays
* Tuition reimbursement
* Paid parental leave
* Wellness fund
* Short and Long Term Disability
* Basic and Buy-Up Life Insurance
* And more.

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!

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Management and Manufacturing

• Industries

  Banking

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