Analyst, Global Markets Supervision

2 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Job Summary**

To ensure that the designated Front Office supervisory activities are effectively implemented and are sustained. This will include maintaining operating desk procedures, designing and implementing tools to assist the Front Office to meet and govern risk management related responsibilities and objectives in an efficient and consistent manner across the global teams with appropriate control assurance procedures.

Assist management to ensure compliance with all rules, regulations, and internal controls and promptly deal with any issues as they arise.

**PRIMARY RESPONSIBILITIES**:

- Ensure that all Business Supervisory Procedures are completed on time.
- Review regulatory and compliance reports to ensure the business is in compliance with industry regulations and RBC standards.
- Conduct regular reviews to confirm that control / oversight are being conducted as designed.
- Proactively identify operational risks / control deficiencies in the business and design appropriate action plans to address.
- Maintain files and back-up for all regulatory, compliance and risk matters.
- Work with Business Management and IT to develop techniques, tools, and processes required to maintain proper records and ensure regular reviews.
- Work with Global Markets Business Management team to improve supervisory controls and adherence to compliance and regulatory requirement.
- Assist in the effective design and execution of appropriate controls and for implementing a continuous monitoring regime with regard to audit issues, operational risk issues, compliance programs, adherence to standing orders etc.
- Ensure timely completion of management action plans from risk assessments, internal audits and regulatory reviews.
- Communicate and educate staff on new and existing Standing Orders and Firm policies.
- Proactively identify operational risks/ control deficiencies in the business
- Review and comply with Firm Policies applicable to your business activities.
- Escalate operational risk loss events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions promptly

**EDUCATION AND EXPERIENCE**:
**Required**:

- BA, MA, MS or equivalent with a detailed understanding of Global Markets sales and trading business lines
- Minimum 2 years industry experience
- Solid understanding of the processing and control environments for equities (cash and derivatives)
- Previous proven experience of related work in a financial services or brokerage firm environment
- Strong business judgement, ability to make and support recommendations without complete information
- Strong written and oral communication skills Detail oriented/organized and results driven
- Good team player
- Ability to work in a fast paced environment

**Preferred**:

- CSC, CPH, Trader Training, Series 7, 63 an asset

**Job Skills**

Business, Business Reviews, Communication, Compliance Reporting, Equities, Equities Trading, Fast-Paced Environments, Global Market, Operational Risks, Regulations, Strategic Objectives

**Additional Job Details**

**Address**:
ROYAL BANK PLAZA, 200 BAY ST:TORONTO

**City**:
TORONTO

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
Capital Markets

**Job Type**:
Regular

**Pay Type**:
Salaried

**Posted Date**:
2023-11-17

**Application Deadline**:
2023-12-01

**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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