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Director, Head of Trade Surveillance
1 month ago
Director, Head of Trade Surveillance (Market Abuse) Canada Apply for the Director, Head of Trade Surveillance (Market Abuse) Canada role at RBC (posted 2025‑12‑02, deadline 2026‑01‑03). What is your opportunity? You will be part of the RBC Compliance Surveillance Team, a core global second line‑of‑defense function that performs routine, mostly automated, post‑event monitoring of trading activity and communications to control and mitigate risks such as market abuse. Responsibilities Ensure RBC’s Trade Surveillance program meets regulatory rules and expectations. Lead the team of Trade Surveillance managers and analysts. Manage daily dispositioning of alerts, reports and tasks, including complex investigations. Collaborate with the Calibration, Validation, Analytics & Reporting team on program refinement. Work with the Strategy, Governance and Program team on the SMMARA cycle. Drive efficiency, technical excellence and coverage of RBC’s Trade Surveillance. Report breaches of Conduct Rules to the Head of Surveillance Canada. Support the development of a strong compliance culture, regulatory enquiries and reviews. Recruit, retain and develop surveillance talent. Qualifications 10+ years of related work experience at a financial institution or regulated securities dealer; minimum 5 years trade surveillance or compliance experience and 5 years people‑management experience. Broad knowledge of Canadian marketplaces (TSX, MX) and the regulatory framework, plus global Market Abuse framework. Understanding of trade surveillance across asset classes and lines of business (Equities, Listed Derivatives, Fixed Income/OTC). Knowledge of leading industry surveillance and case‑management tools. Strong initiative, time‑management, organizational and interpersonal skills. Effective people‑management skills and ability to motivate staff. University degree. Nice‑to‑have Experience in Capital Markets or Wealth Management business. Trading background or finance degree. What’s in it for you? A comprehensive Total Rewards Program including bonuses, flexible benefits, commission and equity. Leadership support through coaching and development opportunities. Opportunity to make a lasting impact and interface with senior executives. Agile, collaborative, high‑performing team culture. Job Skills Capital Markets, Compliance Programs, Leadership, Market Manipulation, Trade Surveillance, Wealth Management Additional Job Details Location: RBC Centre, 155 Wellington St W, Toronto, Canada Work hours: 37.5 per week – Full time – Regular – Salaried Platform: CHIEF LEGAL & ADMIN OFFICE GRP Application Deadline: 2026‑01‑03 11:59 PM Equal Opportunity RBC is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, disability, or any other protected status. #J-18808-Ljbffr
