Join RBC in Toronto as the Manager of Capital Market Surveillance and ensure compliance in trading activities. Lead efforts in Equities and Listed Derivatives oversight.
As the Manager in Capital Market Surveillance, you will conduct comprehensive reviews of trading and sales activities to identify compliance issues for Capital Markets. Leveraging a strong background of at least five years, you will counsel senior management while enhancing the effectiveness of the surveillance program. The role encompasses developing procedures, analyzing communications, and maintaining thorough records to support periodic reporting.
Key Responsibilities:
• Conduct daily oversight of trading activities
• Analyze electronic communications for compliance
• Identify potential risks and recommend actions
• Develop and update surveillance procedures
• Generate periodic statistical reports
Requirements:
• At least 5 years in a financial or regulatory role
• Excellent understand...