Manager, Wealth Management Surveillance

Job Description

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.As Manager, Wealth Management Trade Surveillance, you will be responsible for conducting daily/monthly or ad-hoc trade surveillance alerts focusing on Retail Suitability and Sales Practices (S&SP) reviews for applicable retail line of business (eg. Wealth Management) and assisting Associate Director, Wealth Management Surveillance critical projects i...