Manager, Wealth Management Surveillance

What is the opportunity?

You will be part of the RBC Compliance Surveillance Team, which is a core, global, second-line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine (mostly automated), post-event monitoring of trading activity and communications (electronic and voice) for controlling and mitigating specific relevant risks (e.g. market abuse and manipulation) associated with the supported Capital Markets and Wealth Management businesses.

What will you do?

Surveillance Alert Review (50%)

1. Conduct routine reviews of post trade surveillance alerts generated by surveillance systems to detect potential retail suitability and sales practices concern; to ensure compliance with company policies and applicable regulations (i.e. CIRO)
2. Manage the escalation and resolution of it...