Manager, Capital Markets Surveillance

1 week ago


Toronto, Ontario, Canada Royal Bank of Canada Full time

Come Work with Us
At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.


Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.


Job Title
Manager, Capital Markets Surveillance

What is the opportunity?

What will you do?

  • Conduct routine reviews of post trade surveillance alerts generated by different surveillance systems to ensure compliance with company policies and applicable regulations (i.e. IIROC, 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.
  • Develop and maintain uptodate surveillance procedures for all business lines covered.
  • Compile and provide surveillance statistics for periodic reporting and conduct IT testing for tool enhancements.
  • Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues
  • Assist senior managers in building surveillance models and perform UAT testing for new surveillance tools/ models as required

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. ( Preferable in Fixed Income, Commodities or OTC derivatives products)
  • Knowledge of regulatory and compliance requirements. (Eg. IIROC, OSC requirements)
  • Excellent analytical skills.
  • Strong written and verbal communication skills
  • University degree

Nice-to-have

  • CSC, CPH and/or Trader Training Course
  • Experience with UAT testing for any Capital Markets sales & trading, risk management, or opersations systems.

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.
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and highperforming team

Job Summary

Address:

TORONTO, Ontario, Canada

City:

CAN-ON-TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Group Risk Management

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

:00

Application Deadline:

:00

Inclusion
and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth.

We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.

We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.


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