Senior Manager, Capital Markets Surveillance
Found in: beBee jobs CA - 2 weeks ago
Job Summary
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.
The Senior Manager, Markets Surveillance will lead, manage and develop a team of fixed income trade surveillance specialists and a team of communication surveillance specialists who are responsible for conducting daily, weekly, and monthly reviews of surveillance alerts focusing on fixed income/OTC products and communication surveillance alerts for all applicable LOBs.
What will you do?
- Lead a team of 4 trade surveillance analysts to execute the trade surveillance program effectively to address applicable regulatory requirements set out in CIRO Rules and RBC Policies for Capital Markets, Wealth Management (DS) and Direct Investing covering Fixed Income and OTC products
- Lead a team of 4 communication surveillance analysts to execute the communication surveillance program effectively to address applicable regulatory requirements set out in CIRO Rules and RBC Policies for Capital Markets and Wealth Management
- Ensure surveillance reviews are completed in accordance with Surveillance Procedures, RBC policies and regulatory requirements. Help develop and maintain up-to-date surveillance policies and procedures for fixed Income and OTC surveillance and communications surveillance scenarios
- Collaborate with the global team in its responsibility for the development, enhancement and maintenance of surveillance applications and platforms
- Continuous assessment of both fixed income/ OTC and communications surveillance techniques, ensuring coverage is focused and risk based in line with regulatory requirements, expectations, and guidance in line with RBC's business operations
- Present to senior management potential issues as they arise, make recommendations with regards to courses of action
- Work with Information Technology to ensure systems and tools supporting the markets surveillance program meet Compliance requirements
- Assist in responding to external or internal audit issues: develop, manage, implement, and govern action plans dedicated to making appropriate modifications to correct the issue(s)
What do you need to succeed?
Must-have
- Minimum 5 to 7 years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body with minimum 2 years of management experience
- Strong understanding of Fixed Income/OTC trading products, Capital Markets business lines and roles of participants.
- Knowledge of regulatory and compliance requirements. (Eg. CIRO, OSC requirements, Exchanges requirements)
- Strong understanding of different type of market abuse/market manipulation behaviors
- Outstanding leadership, communication, analytical and problem-solving skills.
- University degree
Nice-to-have
- CSC, CPH and/or Trader Training Course
- Some degree of comfort with technology and a functional understanding of how technology can be applied to surveillance solutions
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 ThinkingAdditional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity:
TORONTOCountry:
CanadaWork hours/week:
37.5Employment Type:
Full timePlatform:
Law and ComplianceJob Type:
RegularPay Type:
SalariedPosted Date:
Application Deadline:
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.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at
-
Sourcing Manager, Capital Markets
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Procom Full timeSourcing Manager - Capital Markets - 3rd Party Contract Purchasing On behalf of our client in the Banking Sector, PROCOM is looking for a Sourcing Manager - Capital Markets - 3rd Party Contract Purchasing. Sourcing Manager - Capital Markets - 3rd Party Contract Purchasing - Job DescriptionCapital MarketsSourcing manager purchasing of 3rd party products - SW,...
-
Associate Director, Capital Markets Compliance Advisory
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada RBC - Royal Bank Full timeJob SummaryJob DescriptionWhat is the opportunity?As Associate Director (AD), you are responsible for Capital Markets Compliance for the Global Equity Sales and Trading, Global Equity Derivatives, and the Wealth Management Agency desks. As a subject matter expert in equity and equity related products, you will be responsible to provide compliance guidance...
-
Senior Product Marketing Manager
Found in: beBee jobs CA - 3 weeks ago
Toronto, Ontario, Canada Float Financial Solutions Inc. Full timeAbout FloatFloat is one of Canada's fastest growing companies and Top Startups, serving Canadian businesses with our innovative smart corporate card and spend management solution. Float's team is customer-obsessed, passionate, vibrant, and entrepreneurial, and includes executives from Uber, Shopify, Ritual, and many other incredible tech companies Our...
-
Manager, COO Functions Advisory, Capital Markets Performance Management
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionWhat is the opportunity?A key member of the Finance Performance Management team, aligned to the Office of the COO that manages all operational and administrative matters across RBC Capital Markets and integrated across the entire spectrum of business activity. The Manager, Finance will be responsible for supporting the delivery of...
-
Senior Manager, High Risk Client Management Capital Markets
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionWhat is the opportunity? This role will support the Global Head and/or Director, High Risk Client Management (HRCM) by providing tactical direction and end-to-end ownership and execution of core risk decisions related to the identification, review, management, and escalation of higher risk clients including the risk assessment and...
-
Director, Capital Market and Alternative Investment Risk Analytics
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Healthcare of Ontario Pension Plan (HOOPP) Full timeWhy you'll love working here:high-performance, people-focused cultureour commitment that equity, diversity, and inclusion are fundamental to our work environment and business success, which helps employees feel valued and empowered to be their authentic selveslearning and development initiatives, including workshops, Speaker Series events and access to...
-
Business Analyst
Found in: Adzuna CA C2 - 5 days ago
Toronto, ON, C6A, Ontario, Canada Finance Professionals Inc. Full timeTypical Day in the Role:• Works with key stakeholders within all business functions to align technology solutions with business strategies• Gathers requirements from business units and documents findings related to the project• Demonstrates an informed knowledge of business functions to resolve problems and capitalize on improvement opportunities•...
-
Senior Product Owner
Found in: Adzuna CA C2 - 5 days ago
Toronto, ON, C6A, Ontario, Canada Nexus Systems Group Full timeSenior Product OwnerOur client is looking for a Senior Product Owner, Capital MarketsCore Competencies :AgileCapital Markets / Trading (business and technology side)Process Improvement and optimization.Business Strategy.Financial & Risk Management.Product Management.Customer centricity.Product Development.Product Value Proposition and Go-to-Market Assets...
-
Insurance Risk Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada First Capital Full timeFirst Capital [TSX: FCR.UN] owns, operates, and develops grocery anchored open air centres in neighbourhoods with the strongest demographics in Canada. Through the expertise and collaboration of our team, we create thriving properties which generate value for businesses, investors and our neighbourhoods. As one of the Greater Toronto Area's top employers, we...
-
Manager of Software Engineering, People Leader
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Capital One Canada Full time161 Bay Street , Canada, Toronto,Toronto, Ontario,Manager of Software Engineering, People LeaderManager, Software Engineering, People LeaderOur Capital One TechnologyTeam. Yes, we're a credit card company. But we're more than that too. We're driven by what our customers want, and how to make their lives simpler. We're always looking for creative ways to...
-
Manager of Software Engineering, People Leader
Found in: beBee jobs CA - 7 days ago
Toronto, Ontario, Canada Capital One Financial Corporation Full timeManager of Software Engineering, People Leader page is loaded Manager of Software Engineering, People Leader Apply locations Toronto, ON time type Full time posted on Posted Yesterday job requisition id R Bay Street , Canada, Toronto,Toronto, Ontario,Manager of Software Engineering, People LeaderManager, Software Engineering, People LeaderOur Capital One...
-
Senior Manager, Financial Risk, Internal Audit
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionWhat is the opportunity? An exciting opportunity to be a key member of the Internal Audit, Financial risk team. As a Senior Manager, you will provide an independent and objective assessment of the effectiveness of RBC's risk management practices with a primary focus on Market Risk and Counterparty Credit Risk, and support effective...
-
2024 Capital Markets, RBC Academy, Summer Intern
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionIf you're bright minded with fresh ideas, enjoy learning and are a passionate graduate of the RBC Academy program, we want youAs an eight-week Summer Intern, you will be placed in one of our RBC Capital Markets departments including Global Markets, Business and Client Services (BCS), or Quantitative and Technology Services (QTS)....
-
Senior Tax Manager
Found in: beBee jobs CA - 3 weeks ago
Toronto, Ontario, Canada Cameron Craig Group Full timeSeeking a Senior Tax Manager to join a team in the Greater Toronto area, where you will work in a variety of industries such as investments, high-net-worth individuals, owner-managed businesses, and more. You will be required to complete the necessary forms for clients or for the businesses in which they work while ensuring compliance and advising executive...
-
Senior Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada Royal Bank of Canada Full timeJob SummaryJob DescriptionWhat is the opportunity? The Senior Manager, Model Validation uses their experience and analytic capabilities to validate the Financial Crime models and ensure compliance with regulatory expectations, industry trends, internal policies and procedures. What will you do? Conduct model validation for Financial Crime models –...
-
Senior Quality Engineer
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada GTT, LLC Full timeSenior Quality EngineerContract Duration 1 year (Extension possible)Job Responsibilities:Senior Quality Engineer will work on system testing and integration projects.Required Education/ Experience:Degree/Certifications Required:UGYears of experience: 7 yearsMust Haves:Functional QA (testing process knowledge) - 4+ yearsAutomation testing using Java and...
-
AVP, Capital
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada PartnerRe Full timeCompany DescriptionPartnerRe is a leading, privately owned, multi-line global reinsurer with a reputation of financial stability and strength, and a commitment to rebuilding businesses and communities after risk events around the world.Our mission is to continue to be a financially stable and predictable business partner, supporting our clients with...
-
Senior Manager, Financial Planning
Found in: beBee jobs CA - 8 hours ago
Toronto, Ontario, Canada OrganiGram Inc Full timeWe are currently seeking candidates for the position of Senior Manager, Financial Planning & Analysis.Reporting to the Vice President of FP&A, the Senior Manager, Financial Planning & Analysis (FP&A), will play a pivotal role in establishing the company's short and long-term corporate objectives, with a particular focus on leading the annual planning and...
-
Brand Marketing Manager
Found in: beBee jobs CA - 2 weeks ago
Toronto, Ontario, Canada PUIG, S.L. Full timeThe OpportunityThe Marketing Manager leads development of 360 strategy and execution of global marketing programs by collaborating closely with cross-functional business partners to build strategy briefs, communications plans, toolkits for campaigns across multi-platform consumer engagement programs. Develop and execute comprehensive marketing strategies in...
-
Senior Tax Manager
Found in: beBee jobs CA - 3 weeks ago
Toronto, Ontario, Canada Bridgeway Professionals Full timeSeeking a Senior Tax Manager to join a team in the Greater Toronto area, where you will work in a variety of industries such as investments, high-net-worth individuals, owner-managed businesses, and more. You will be required to complete the necessary forms for clients or for the businesses in which they work while ensuring compliance and advising executive...