Manager, Capital Markets Surveillance - Toronto, Canada - Royal Bank of Canada

Royal Bank of Canada

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

Description

Come Work with Us
At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

Job Title
Manager, Capital Markets Surveillance (Listed Products)

What is the opportunity?

What will you do?

Conduct daily, weekly, monthly and quarterly trading reviews to ensure compliance with applicable laws and regulations, as well as internal policies and procedures
Identify potential areas of risk (financial, reputational, and regulatory), counsel senior management of potential issues as they arise, make recommendations with regards to courses of action
Make recommendations to current surveillance program for business lines covered to improve surveillance efficiency and effectiveness
Develop and maintain uptodate surveillance procedures for all business lines covered
Compile and provide surveillance stats for periodic reporting and conduct IT testing for tool enhancements
Special projects as assigned

What do you need to succeed?

Must-have

Minimum 5 years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body.
Strong understanding of Capital Markets' trading products and business lines (Preferably in Equities and Listed Derivatives)
Knowledge of regulatory and compliance requirements. (E.g. IIROC, MX, OSC requirements)
Ability to work in a fast paced environment with tight deadlines and organize and prioritize an unpredictable workload
Excellent analytical skills
University degree

Nice-to-have

CSC, CPH, DFOL and/or Trader Training Course

What is in it for you?

We thrive on the challenge to be our best, progressive thinking, to keep growing, and working together to build and deliver trusted reporting to help our stakeholders succeed 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.
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 highperforming team

Job Summary

Address:

TORONTO, Ontario, Canada

City:

CAN-ON-TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Group Risk Management

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

Inclusion
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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