Manager, Wealth Management Surveillance

2 weeks ago

Toronto, Canada Royal Bank of Canada Full time

**Job Summary**

**What is the opportunity?**

As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too. We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our **_Compliance: Collaborate, Challenge, Create_** strategy is our commitment to growing intelligently together and we need people like you to join us.

With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?

The role of the Manager, Wealth Management Surveillance is to monitor the compliance of the Retail Division of RBC Dominion Securities Inc. This individual will reinforce securities legislation, the rules of the Canadian Investment Regulatory Organization (CIRO) and internal policies and procedures as they relate to trading activity and business conduct.

**What will you do?**
- Conduct routine post trade surveillance for RBC Securities Retail Division (Wealth Management) to ensure trades comply with company policies and applicable regulations related to suitability and sales practices from regulators (i.e. CIRO) and additional second level reviews and testing as required.
- Conduct routine reviews of post trade surveillance of Pro Accounts to ensure trades comply with company policies and applicable regulations (i.e. CIRO) and additional second level reviews and testing as required. Managed the Compliance Pro inbox, by responding to and handling internal and external requests with regards to Pro Accounts.
- Manage the Compliance Pro inbox, by responding to and handling internal and external requests with regards to Pro Accounts.
- Identify potential areas of risk (financial, reputational, and regulatory), advise senior management of potential issues as they arise, make recommendations with regards to potential courses of action.
- Compile and provide surveillance statistics for periodic reporting and conduct IT testing for tool enhancements.
- Manage the escalation and resolution of items that may present concerns
- Develop and maintain up-to-date surveillance procedures for all business lines covered.
- Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues

**What do you need to succeed?**

**Must-have**
- Minimum 3 + years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body.
- Canadian Securities and Conducts and Practice Course (CPH)
- Understanding of equity, derivatives and fixed income securities

**Nice-to-have**
- Derivatives and Futures Licensing Courses, Trader Training Course
- Technical skills in VBA, Python, Tableau

**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 Thinking

**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**:
2024-01-30

**Application Deadline**:
2024-02-14

**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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