Manager, E-Communications Surveillance
TORONTO, Ontario, Canada
3d ago

Job Description

What is the opportunity? The Canada Communication Surveillance Group is responsible for conducting surveillance of audio and electronic communications pursuant to regulations such as IIROC Rule 29.

7(2). As E-Communications Surveillance Manager, you will provide surveillance coverage to relevant business units in line with industry best practices, provide top-tier support to the business lines serviced and mitigate risk for RBC by detecting and escalating compliance issues.

You will cross train amongst the team for redundant coverage and seek efficiencies and both strategic and tactical improvements to the communications surveillance program. What will you do?

Conduct routine review of electronic and audio communications to ensure compliance with company policies and application regulations (i.

e. IIROC, OSC), focusing on market abuse and market manipulation.

Ongoing assessment of surveillance efficiency and reporting to management

Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact

Manage the escalation and resolution of items that may present concerns

Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues

Maintain surveillance monitoring groups and provide metrics for reporting to management

What do you need to succeed? Must-have

Typically 3+ years of relevant experience in financial industry. Preferably in a compliance and / or surveillance role. Or prior experience at a securities regulator.

Detailed understanding of compliance issues facing Broker-Dealers

Knowledge of Capital Markets products and services (Public or / and Private side)

Strong written and verbal communication skills

Critical Thinking and Strong analytical skills


CSC, CPH and / or Trader Training Course

Intermediate understand of French

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, commissions, and stock where applicable

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

The opportunity to interface with senior level executives from many different parts of the organization

Address :

TORONTO, Ontario, Canada


Country : Canada

Work hours / week : 37.5

Employment Type : Full time

Platform :

Group Risk Management

Job Type : Regular

Pay Type : Salaried

Posted Date : 2022-06-13-07 : 00

2022-06-13-07 : 00

Application Deadline :

2022-06-29-07 : 00

I nclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.

We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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