What is the opportunity? As Manager, Capital Market Surveillance (Listed Products), you will primarily conduct daily and periodic reviews of sales and trading activities for Capital Markets in Canada, and be the overall subject matter expert in both Equities and Listed Derivatives. You will participate and contribute to team projects (alert parameter changes, working with Compliance IT), keep detailed record keeping and compile surveillance stats for periodic reporting. 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 Make recommendations to current surveillance program for business lines covered to improve surveillance efficiency and effectiveness 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? Must-have Minimum 5 years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body. Strong understanding of Capital Markets’ trading products and business lines (Preferably in Equities and Listed Derivatives) Knowledge of regulatory and compliance requirements. (E.g. IIROC, MX, OSC requirements) Ability to work in a fast paced environment with tight deadlines and organize and prioritize an unpredictable workload Excellent analytical skills University degree Nice-to-have CSC, CPH, DFOL and/or Trader Training Course What is in it for you? A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation. Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in an agile, collaborative, progressive, and high-performing team 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: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above. #J-18808-Ljbffr