Manager, Capital Markets Surveillance

2 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Job Summary**

**What is the opportunity?**

**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
- 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’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.
- 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, Capital Markets, Capital Markets Compliance, Compliance Testing, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Fixed Income Operations, Fixed Income Products, Fixed Income Trading, Independent Thinking, Industry Knowledge, Interpersonal Relationship Management, Problem Solving Critical Thinking (Inactive), Product Services, Risk Management, Strategic Thinking, Understanding of Derivatives (Inactive), User Acceptance Testing (UAT)

**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**:
Law and Compliance

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2023-11-15

**Application Deadline**:
2024-02-10

**I**nclusion** 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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