Senior Communications Surveillance Manager
1 month ago
Position Overview
Role Summary
What is the opportunity?
As a key member of the RBC Compliance Surveillance Team, you will engage in a vital global function that serves as a second line of defense within Compliance. This role involves close collaboration with first-line and third-line functions (Internal Audit) as well as other second-line teams to create an integrated controls framework. Your primary responsibility will be to oversee routine (predominantly automated) monitoring of trading activities and communications (both electronic and voice) to mitigate specific risks, such as market abuse and manipulation, associated with our Capital Markets and Wealth Management sectors.
The Senior Manager, Communications Surveillance will spearhead a team of specialists dedicated to conducting thorough daily, weekly, and monthly assessments of communications surveillance alerts, with a focus on identifying potential market and business misconduct across relevant business lines in Canada.
Key Responsibilities
- Lead a team of four communication surveillance analysts to effectively implement the communications surveillance program, ensuring compliance with regulatory standards and RBC policies.
- Guarantee that communications surveillance reviews are conducted in alignment with established Surveillance Procedures, RBC policies, and regulatory mandates.
- Collaborate with the global team to enhance and maintain the communications surveillance program both in Canada and internationally.
- Continuously evaluate communications surveillance methodologies, ensuring that coverage is focused and risk-based, in accordance with regulatory expectations and RBC's operational framework.
- Identify potential risk areas (financial, reputational, and regulatory) or emerging surveillance trends that could lead to proactive initiatives.
- Present potential issues to senior management as they arise, offering informed recommendations for action.
- Work collaboratively to ensure that systems and tools supporting the markets surveillance program comply with all requirements.
- Assist in the development and maintenance of up-to-date surveillance policies and procedures tailored to communications surveillance scenarios.
- Support the response to external or internal audit findings by developing, managing, and implementing action plans to address identified issues.
- Ensure the team is adequately staffed, trained, and cross-trained to maintain coverage during absences.
- Mentor and coach team members on their professional development while fostering a collaborative and innovative team culture.
Qualifications for Success
Essential Requirements
- 5 to 7 years of relevant experience in a financial institution, regulated securities dealer, or securities regulatory body (e.g., Compliance, Risk Management, Audit).
- A minimum of 2 years in a leadership role.
- In-depth knowledge of regulatory and compliance standards for wholesale and/or retail investment dealers (e.g., CIRO, OSC, Exchanges).
- Strong understanding of Capital Markets and Wealth Management business lines and the roles of various participants.
- Exceptional leadership, communication, analytical, and problem-solving abilities.
- A university degree.
Preferred Qualifications
- Comfort with technology and a functional understanding of its application in communications surveillance solutions.
- Experience in the front office of Capital Markets or Wealth Management.
What We Offer
At RBC, we are committed to fostering an environment that encourages growth, collaboration, and innovation. We prioritize the well-being of our clients and communities, and we value the contributions of our employees.
- A comprehensive Total Rewards Program, including bonuses, flexible benefits, competitive compensation, and stock options where applicable.
- Supportive leadership that promotes your professional development through coaching and management opportunities.
- The chance to make a significant impact and contribute to meaningful change.
- Work within a dynamic, collaborative, and high-performing team.
- Opportunities to engage with senior executives across various departments.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking.-
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