Manager, Communications Surveillance

Job Description
What is your opportunity?
The Canada Communications Surveillance Group is responsible for conducting surveillance of audio and electronic communications pursuant to regulations focusing on Market Abuse and Market Manipulation, Information Barrier, Suitability and Sales Practices and Conflict of Interest.

As Communications Surveillance Manager, you will provide surveillance coverage to relevant business units in line (Eg. Capital Markets, Wealth Management) with industry best practices, provide top-tier support to the business lines serviced and mitigate risk for RBC by detecting and escalating compliance issues. You will cross train amongst the team for redundant coverage and seek efficiencies and both strategic and tactical improvements to the communications surveillance program.

What will you do?

• Conduct routine review of electronic and audio communications (with a focus on communications conducted in French) to ensure compliance with company policies and application regulations (i.e. CIRO, OSC)
• Ongoing assessment of communications surveillance efficiency and reporting to management
• Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact
• Manage the escalation and resolution of items that may present concerns
• Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues
• Maintain surveillance monitoring groups and provide metrics for reporting to management
• Conduct periodic trends and patterning review to identify potential compliance concern

What do you need to succeed?

• Bilingualism (English and French) required, as you will regularly serve our clients and do business with RBC partners and/or employees across Canada with English and French speaking needs
• 5+ years of relevant experience in financial industry with strong understanding of Capital Markets Sales & Trading and/or Investment Banking business and/or Wealth Management
• Prior experience in a compliance and/or surveillance role or prior experience at securities regulator
• Detailed understanding of compliance issues facing Broker-Dealers (Market Abuse and Market Manipulation, Information Barrier, Suitability and Sales Practices and Conflict of Interest)
• Knowledge of Capital Markets and/ or Wealth Management products and services
• University degree in Finance and/or related discipline

Nice-to-have

• CSC, CPH and/or Trader Training Course

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
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:
CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:
Regular

Pay Type:
Salaried

Posted Date:

Application Deadline:

Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I
*nclusion*
and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.