Capital Markets Compliance Manager

4 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada> Full time

Position Overview

Role Summary

What is the opportunity?

As a vital member of the RBC Compliance Surveillance Team, you will engage in a crucial, global, second-line-of-defense role within Compliance. This team collaborates closely with first-line operations and third-line functions (Internal Audit) as part of a comprehensive controls framework. Your responsibilities will include systematic (predominantly automated) post-event monitoring of trading activities and communications (both electronic and voice) to identify and mitigate specific risks, such as market abuse and manipulation, associated with Capital Markets and Wealth Management sectors.

In your capacity as the Manager of Capital Markets Trade Surveillance, you will perform daily and periodic evaluations of sales and trading activities in Canada, aiming to uncover potential market abuse or manipulation behaviors, particularly in Fixed Income, Commodities, and OTC products. You will also play an active role in team initiatives (such as alert parameter adjustments and collaboration with Compliance IT) and maintain meticulous records while compiling surveillance statistics for regular reporting. A solid understanding of regulatory requirements and product knowledge in Fixed Income, Commodities, or OTC products is essential.

Key Responsibilities

  • Conduct routine assessments of post-trade surveillance alerts generated by various systems to identify potential market abuse or manipulation behaviors, ensuring adherence to company policies and relevant trading regulations (e.g., CIRO, OSC).
  • Oversee the escalation and resolution of items that may raise concerns.
  • Identify potential risk areas (financial, reputational, and regulatory), advise senior management on emerging issues, and recommend appropriate courses of action.
  • Develop and keep current surveillance procedures for all business lines under your purview.
  • Compile and present surveillance statistics for periodic reporting and conduct IT testing for enhancements to surveillance tools.
  • Engage in special projects as assigned by management, including addressing potential gaps and identified issues.
  • Assist senior managers in constructing surveillance models and perform User Acceptance Testing (UAT) for new surveillance tools/models as necessary.

Qualifications for Success

Essential Requirements

  • A minimum of 5 years of relevant experience within a financial institution, regulated securities dealer, or securities regulatory body.
  • Strong comprehension of Capital Markets trading products and business lines, preferably in Fixed Income, Commodities, or OTC derivatives.
  • Knowledge of sales and trading regulatory and compliance standards (e.g., CIRO, OSC).
  • Exceptional analytical abilities.
  • Strong written and verbal communication skills.
  • A university degree.

Preferred Qualifications

  • Completion of CSC, CPH, and/or Trader Training Course.
  • A solid understanding of common market abuse and manipulation themes and patterns.

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 while striving for mutual success.

  • A comprehensive Total Rewards Program that includes bonuses, flexible benefits, competitive compensation, commissions, and stock options where applicable.
  • Supportive leadership that promotes your development through coaching and management opportunities.
  • The chance to make a significant and lasting impact.
  • Work within an agile, collaborative, and high-performing team.
  • Opportunities to engage with senior executives across various sectors of the organization.

Core Competencies

Audits Compliance, Capital Markets, Compliance Testing, Critical Thinking, Data Analysis, Decision Making, Financial Regulation, Fixed Income Investments, Independent Thinking, Industry Knowledge, Interpersonal Relationship Management, Problem Solving, Risk Management, Strategic Thinking, Trade Surveillance.

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