Trade Surveillance Officer

4 weeks ago

Toronto, 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**

Trade Surveillance Officer - 6 Month Contract

**What is the opportunity?**

The Trade Surveillance Officer will review for compliance with securities legislation, CIRO RULE 200 and internal policies and procedures within the Royal Mutual Funds Inc. (RMFI) distribution channels; as well as effective and efficient daily reviews of trade reports, including follow up with the appropriate individuals and groups where concerns have been identified. This role will provide strong risk management support for RMFI distribution and support the implementation and management of special initiatives.

**What you will do?**
- Timely review of daily reports for suspicious activity and suitability of advice.
- Timely review of monthly/quarterly reports for trend analysis.
- Escalate issues to field management (BCOs) or other appropriate individuals
- Follow up on escalations to ensure all necessary corrective action has been taken.
- Follow, review and enhance procedures that clearly show “evidence of review” and ensure follow-up that will be satisfactory to the regulators.
- Analyze reports to identify potential areas of risk, advise management of potential issues as they arise and make recommendations regarding appropriate actions to take.
- Educate RMFI Compliance colleagues, business partners and the field about Trade Surveillance requirements, gaps, trends, etc. Train team members as needed.
- Assist with developing and implementing new or enhanced surveillance program practices to ensure effective operational efficiencies and to ensure compliance requirements are met in all circumstances.
- Prepare trade data for supervisory investigations and MFDA/CIRO inquiries.

**Must Have**
- University degree in business, finance, economics or other related discipline
- Up-to-date knowledge of Canadian securities industry, including securities regulations
- Must have completed one of the mutual fund qualifying courses, and be willing to take the Branch Compliance Officers course if it has not yet been completed
- Analytical, problem-solving skills
- Excellent written and oral communication skills
- Innovative self-starter with strong attention to detail
- Able to work independently in an unstructured environment
- Strong communication/interpersonal skills

**Job Summary**

**Address**:
TORONTO, Ontario, Canada

**City**:
CAN-ON-TORONTO

**Country**:
Canada

**Work hours/week**:
37.5

**Employment Type**:
Full time

**Platform**:
Law and Compliance

**Job Type**:
Contract (Fixed Term)

**Pay Type**:
Salaried

**Posted Date**:
2023-08-30

**Application Deadline**:
2023-09-13

**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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