Manager, Capital Markets Surveillance; Listed Products

Position: Manager, Capital Markets Surveillance (Listed Products)

Job Description

What is the opportunity?As Manager, Capital Market Surveillance (Listed Products), you will primarily conduct daily and periodic reviews of sales and trading activities for Capital Markets in Canada and be the overall subject matter expert in both Equities and Listed Derivatives. You will participate and contribute to team projects (alert parameter changes, working with Compliance IT), keep detailed record keeping and compile surveillance stats for periodic reporting.
What will you do?

Conduct daily, weekly, monthly and quarterly trading reviews to ensure compliance with applicable laws and regulations, as well as internal policies and procedures

Conduct reviews of electronic communications as it relates to e-mail, instant messaging and new communications systems through email monitoring tool

Identify potential areas of risk (financial, reputational, and regulatory), counsel senior management of potential issues as they arise, make recommendations with regards to courses of action

Make recommendations to current surveillance program for business lines covered to improve surveillance efficiency and effectiveness

Develop and maintain up-to-date surveillance procedures for all business lines covered

Compile and provide surveillance stats for periodic reporting and conduct IT testing for tool enhancements

Special projects as assigned

What do you need to succeed?
Must-have

Minimum 5 years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body.

Strong understanding of Capital Markets’ trading products and business lines (Preferably in Equities and Listed Derivatives)

Knowledge of regulatory and compliance requirements. (E.g. IIROC, MX, OSC requirements)

Ability to work in a fast paced environment with tight deadlines and organize and prioritize an unpredictable workload

Excellent analytical skills

University degree

Nice-to-have

CSC, CPH, DFOL and/or Trader Training Course

What is in it for you? We thrive on the challenge to be our best, progressive thinking, to keep growing, and working together to build and deliver trusted reporting to help our stakeholders succeed and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation.

Leaders who support your development through coaching and managing opportunities

Ability to make a difference and lasting impact

Work in an agile, collaborative, progressive, and high-performing team

Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:

TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Final date to receive applications:

Note: Applications will be accepted until 11:59 PM on the day prior to the Final date to receive applications date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities.

RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity lified applicants may be contacted to review their resume in more detail.