Manager, Wealth Management Surveillance (9 Month Contract)

Job title: Manager, Wealth Management Surveillance (9 Month Contract)

Company: Royal Bank of Canada


Job description: Job SummaryJob DescriptionWhat is the opportunity?As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too. We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?The role of the Manager, Wealth Management Surveillance is to monitor the compliance of the Retail Division of RBC Dominion Securities Inc. This individual will reinforce securities legislation, the rules of the Canadian Investment Regulatory Organization (CIRO) and internal policies and procedures as they relate to trading activity and business conduct.What will you do?

• Conduct routine reviews of post trade surveillance alerts generated by different surveillance systems to ensure trades are suitable, comply with company policies and applicable regulations (i.e. CIRO) and additional second level reviews and testing as required.
• Identify potential areas of risk (financial, reputational, and regulatory), advise senior management of potential issues as they arise, make recommendations with regards to potential courses of action.
• Compile and provide surveillance statistics for periodic reporting and conduct IT testing for tool enhancements.
• Manage the escalation and resolution of items that may present concerns
• Develop and maintain up-to-date surveillance procedures for all business lines covered.
• Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues

What do you need to succeed?Must-have

• Minimum 3 + years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body.
• Canadian Securities and Conducts and Practice Course (CPH)
• Understanding of equity, derivatives and fixed income securities
• Strong technical skills with a good working knowledge of the Microsoft Office applications (Access, Word, Excel)

Nice-to-have

• Derivatives and Futures Licensing Courses, Trader Training Course
• Excellent verbal and written skills in French
• Technical skills in VBA, Python, Tableau

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 Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job DetailsAddress: RBC CENTRE, 155 WELLINGTON ST W:TORONTOCity: TORONTOCountry: CanadaWork hours/week: 37.5Employment Type: Full timePlatform: CHIEF LEGAL & ADMIN OFFICE GRPJob Type: Contract (Fixed Term)Pay Type: SalariedPosted Date: 2024-12-20Application Deadline: 2025-01-06Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveInclusion and Equal Opportunity EmploymentAt 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.We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at .

Expected salary:

Location: Toronto, ON

Job date: Sat, 21 Dec 2024 23:59:54 GMT

To help us track our recruitment effort, please indicate in your email/cover letter where (jobsnear.pro) you saw this job posting.Thanks&Good Luck