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As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too.
We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.
With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?
The Equities Surveillance Officer will primarily conduct daily and periodic reviews of sales and trading activities for Capital Markets in Canada. The incumbent will participate and contribute to team projects (alert parameter changes, working with Compliance IT), keep detailed record keeping, compile surveillance states for periodic reporting and be the overall subject matter expert of the Equities space. Regulatory knowledge of Fixed Income, Credit, Derivative and Foreign Exchange markets is also required.
What will you do?
Conduct daily, weekly, monthly and quarterly trading reviews to ensure compliance with applicable laws and regulations, as well as internal policies and procedures
Conduct reviews of electronic communications as it relates to e-mail, instant messaging and new communications systems through email monitoring tool
Identify potential areas of risk (financial, reputational, and regulatory), counsel senior management of potential issues as they arise, make recommendations with regards to courses of action
Develop and maintain up-to-date surveillance procedures for all business lines covered
Compile and provide surveillance stats for periodic reporting and conduct IT testing for tool enhancements
Special projects as assigned
What do you need to succeed?
5+ years of relevant compliance and/or risk experience in Capital Markets across a minimum of two (2) asset classes (Equities, Fixed Income, F/X, OTC Derivatives)
Previous market surveillance/compliance experience is preferred
Post-secondary education or equivalent
Canadian Securities Course (CSC) and Conducts and Practice Course (CPH)
Strong analytical and technical skills
Canadian Options Course (COC), Traders Training Course (TTC), Derivatives Fundamentals Course (DFC)
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 flexible benefits, competitive compensation
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
Internal Number: 6277471
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