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Risk Manager/Analyst Regulatory Compliance Specialist Financial Compliance

Manager, Capital Markets Trade Surveillance and Governance

Job in Toronto, Ontario, M5A, Canada
Listing for: 0000050599 RBC Dominion Securities Inc.
Full Time position
Listed on 2026-07-29
Job specializations:
  • Finance & Banking
    Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below

Job Description

What is the opportunity? You will be part of the RBC Compliance Surveillance Team, which is a core, global, second-line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine (mostly automated), post-event monitoring of trading activity and communications (electronic and voice) for controlling and mitigating specific relevant risks(e.g. market abuse and manipulation) associated with the supported Capital Markets and Wealth Management businesses.

As Manager, Capital Markets Trade Surveillance and Governance, you will be responsible for conducting daily/monthly or ad-hoc trade surveillance alerts focusing on Market Abuse and Manipulation and assisting Associate Director, Surveillance Governance and Quality Assurance in maintaining effective surveillance governance across Canaidan Surveillance Team.
What will you do?
Surveillance Alert Review (50%):

  • Conduct routine reviews of post trade surveillance alerts generated by different surveillance systems to detect potential market abuse/manipulation behavior; to ensure compliance with company policies and applicable market trading regulations (i.e. CIRO, OSC)

  • Manage the escalation and resolution of items that may present concerns

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

    • Governance (50%)

  • Assist Associate Director in developing and maintaining up-to-date surveillance procedures for all business lines covered.

  • Compile and provide surveillance statistics for periodic management reporting and oversights.

  • Support planning and execution of governance activities including audits, regulatory requests, scenario testing, and regulatory exams.

  • Assist in monthly alerts quality assurance reviews.

  • Manage special projects as assigned (eg. Team productivity analysis to ensure sufficient and efficient resource allocation

    • 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 investment products and market abuse/market manipulation patterns.

  • Knowledge of sales & trading regulatory and compliance requirements. (Eg. CIRO, OSC requirements)

  • Experience developing, implementing, or maintaining surveillance procedures and governance frameworks.

  • Excellent analytical skills to detect patterns/trends, as well as experience in using data analytic tools (eg. Tableau)

  • Strong written and verbal communication skills

  • University degree

    • Nice-to-have

  • CSC, CPH and/or Trader Training Course

  • Experience in utilizing AI tool for data analytics

    • What’s in it for you?We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive 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, commissions, and stock where applicable

  • 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

  • The opportunity to interface with senior level executives from many different parts of the organization

    • 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…
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