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The role involves monitoring compliance for the Retail Division of RBC Dominion Securities Inc. by reviewing trading activity and business conduct against IIROC rules and internal policies. Key duties include analyzing trading reports for risk, escalating issues to management, and drafting policies and procedures.
Candidates must have over 3 years of investment industry or compliance experience, a university degree, and the Canadian Securities and Conducts and Practice Course. Proficiency in Microsoft Office and a strong understanding of equity, derivatives, and fixed income securities are required.
As Manager, Wealth Management Surveillance, you will monitor the compliance of the Retail Division of RBC Dominion Securities Inc. You will reinforce securities legislation, the rules of the Investment Industry Regulatory Organization of Canada (IIROC) and internal policies and procedures as they relate to trading activity and business conduct.
Conduct daily, weekly, monthly and ad hoc reviews in accordance with IIROC Rule 2500 and other regulatory and firm requirements.
Conduct additional second level reviews and testing as required.
Analyze trading reports identifying potential areas of risk (financial, reputational, and regulatory), advise management of potential issues as they arise, make recommendations with regards to courses of action.
Ensure daily, monthly and enhanced trade reviews are completed within the mandated timeframe.
Escalate issues to the business and management as required and advise the business on trading related policies and procedures and/or regulations as required.
Perform reporting, draft policies and procedures, conduct IT testing
Special projects as assigned.
3+ years of experience in the investment industry and/or compliance
University Degree, plus Canadian Securities and Conducts and Practice Course
Understanding of equity, derivatives and fixed income securities
Strong technical skills with a good working knowledge of the Microsoft Office applications (Access, Word, Excel)
Self-starter with the ability to work in a fast-paced, unpredictable environment with tight deadlines
Fluent in French and English, with strong reading, writing and speaking skills in each language
Derivatives and Futures Licensing Courses
Trader Training Course
Knowledge of the securities industry and securities operations
Strong analytical acumen, problem-solving and attention to detail
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
A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation
Leaders who support your development through coaching and managing opportunities
Work in a dynamic, collaborative, progressive, and high-performing team
Opportunities to do challenging work
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.
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