What is the opportunity?

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.

What will you do?

- 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.

What do you need to succeed?

Must-have

- 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

Nice-to-have

- 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

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 versatile 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

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

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

Our Employment Opportunities

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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📌 Manager, Wealth Management Surveillance (Toronto)
🏢 RBC Dominion Securities
📍 Toronto