Overview

RBC Surveillance Officer, RBC Dominion Securities Markets Surveillance – 12 Month Contract Contract in Toronto, ON

RBC

Branch Toronto ON CA

Position:
Surveillance Officer, RBC Dominion Securities Markets Surveillance – 12 Month Contract
Location:
Toronto, ON

We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance,…

What is the opportunity?
The role of the Surveillance Officer is to monitor the compliance of the Retail Division of RBC Dominion Securities Inc. The officer will reinforce securities legislation, the rules of the Investment Industry Regulatory Organization of Canada (IIROC) and internal policies and procedures as they relate to trading activity and business conduct.

What will you do?
Conduct daily, weekly, monthly and ad hoc reviews in accordance with IIROC Rule 2500 and other regulatory and firm requirements.
Conduct additional second level reviews and testing as required.
Analyze trading reports identifying potential areas of risk (financial, reputational, and regulatory), advise management of potential issues as they arise, make recommendations with regards to courses of action.
Ensure daily, monthly and enhanced trade reviews are completed within the mandated timeframe.
Escalate issues to the business and management as required and advise the business on trading related policies and procedures and/or regulations as required.
Perform reporting, draft policies and procedures, conduct IT testing
Special projects as assigned.

What do you need to succeed?

Must-have
University Degree
Canadian Securities and Conducts and Practice Course (CPH)
3+ years of experience in the investment industry and/or compliance
Understanding of equity, derivatives and fixed income securities
Strong technical skills with a good working knowledge of the Microsoft Office applications (Access, Word, Excel)

Nice-to-have
Derivatives and Futures Licensing Courses
Trader Training Course
Knowledge of the securities industry and securities operations
Compliance experience

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
A comprehensive Total Rewards Program including bonuses and flexible benefits and competitive compensation
Leaders who support your development through coaching and managing opportunities
Work in a dynamic, collaborative, progressive, and high-performing team
Opportunities to do challenging work

About RBC
Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visit rbc.com .

Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at rbc.com/careers .

Inclusion and Equal Opportunity Employment
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.

JOB SUMMARY
City: Toronto
Address: 180 Wellington St W
Work Hours/Week: 37.5
Work Environment: Office
Employment Type: Contract
Career Level: Experienced Hire/Professional
Pay Type: Salaried
Required Travel (%): 0-25
Exempt/Non-Exempt: N/A
People Manager: No
Application Deadline: 08/10/2018
Req ID: 169864

Posting Notes:

or proceed with Standard Application Form.

Employment Type: Freelance
Location: Toronto, ON, CA
Posted on: 2018-07-27
Posted by: