Elevate compliance monitoring as the Wealth Management Surveillance Manager with RBC Dominion Securities in Toronto, Canada. Guide trading activity, reinforce regulations, and oversee risk management for the Retail Division.
The role demands strong compliance oversight and a thorough understanding of securities legislation. You will perform regular reviews in line with IIROC regulations and ensure trading activities comply with internal and external standards. Your analytical skills will be essential in identifying risk areas while providing actionable recommendations to management and supporting business operations.
Key Responsibilities:
• Conduct daily and periodic compliance reviews
• Analyze trading reports and identify risk areas




• Ensure timely completion of trade reviews
• Escalate compliance issues to management
• Perform IT testing and report drafting
Requirements:
• 3+ years experience in investment or compliance
• University Degree and relevant securities courses
• Robust technical skills in Microsoft Office
• Knowledge of equity, derivatives, and fixed income
• Self-starter able to meet tight deadlines
Bring your expertise in compliance, risk management, and trading oversight to RBC in Toronto.
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📌 Wealth Management Surveillance Manager at RBC (Toronto)
🏢 RBC Dominion Securities
📍 Toronto