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Lead Manager, Communication Oversight

3 months ago

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

Position Overview

Role Summary

What is the opportunity?

As a pivotal member of the RBC Compliance Surveillance Team, you will engage in a vital, global, second-line-of-defense role within Compliance. This function collaborates closely with first-line operations and third-line (Internal Audit) teams, along with other second-line functions, to maintain an integrated controls framework. Your responsibilities will include routine (primarily automated) post-event monitoring of trading activities and communications (both electronic and voice) to manage and mitigate specific risks, such as market abuse and manipulation, associated with our Capital Markets and Wealth Management sectors.

The Senior Manager, Communication Oversight will spearhead a team of specialists dedicated to communication surveillance, conducting thorough daily, weekly, and monthly assessments of alerts aimed at identifying potential market and business misconduct across relevant business lines in Canada.

Key Responsibilities

  • Oversee a team of four communication surveillance analysts to effectively implement the communications surveillance program, ensuring compliance with regulatory mandates and RBC policies.
  • Guarantee that communication surveillance reviews are conducted in line with established Surveillance Procedures, RBC policies, and regulatory standards.
  • Collaborate with the global team to enhance and maintain the communications surveillance program both in Canada and internationally.
  • Continuously evaluate surveillance techniques, ensuring that coverage is focused and risk-based, aligning 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.
  • Report to senior management on potential issues as they arise, providing recommendations for appropriate actions.
  • Work collaboratively to ensure that systems and tools supporting the markets surveillance program meet compliance standards.
  • Assist in the development and maintenance of up-to-date surveillance policies and procedures for communication scenarios.
  • Support responses 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 or regulated securities environment (e.g., Compliance, Risk Management, Audit).
  • A minimum of 2 years in a managerial role.
  • In-depth knowledge of regulatory and compliance frameworks 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 communication surveillance solutions.
  • Experience in Capital Markets or Wealth Management front office roles.

What We Offer

At RBC, we are committed to fostering an environment that encourages growth, collaboration, and innovation. We value each team member's contributions and strive to make a positive impact on our clients and communities.

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

Skills Required

Audits Compliance, Critical Thinking, Data Analysis, Decision Making, Financial Regulation, Industry Knowledge, Relationship Management, Risk Management, Strategic Thinking

Additional Information

At RBC, we prioritize diversity and inclusion as key drivers of innovation and growth. We are dedicated to building inclusive teams and creating an equitable workplace where all employees can bring their authentic selves to work. We also strive to provide an accessible candidate experience for prospective employees with diverse abilities.