Risk Surveillance Analyst

What is the opportunity?

The Surveillance Analyst (SA) ensures RBC Wealth Management is meeting its supervisory and regulatory obligations relative to communications with the public and other employee activities as set forth by regulatory requirements and Firm policies.

The Surveillance Analyst (SA) helps identify and mitigate risks by:

• performing initial reviews, screening, and investigation of e-communications (including, but not limited to email, texts, and documents) that are sent to and received by PCG employees subject to the Firm's e-communications surveillance system.

• using existing reports, and providing input on the development of new reports, to surveil various trading and investment activities

What will you do?

• E-Communications Surveillance

  Conduct daily review of flagged electronic communications to ensure company policies and applicable regulations are met.

  Contribute to assessing the efficacy of keywords and phrases.

  Perform ad hoc data production from email archives in response to internal requests.

  Perform risk-based sampling of non-flagged e-communications.

• Activity Surveillance

  Process monthly account review data for distribution to Supervisory Risk Managers

  Develop a basic knowledge of the trade supervision system and participate in testing under the guidance of management.

• Perform quality control testing of tools and reports for purposes of identifying gaps and malfunctions.

• Interpret and investigate substantive findings for context and potential impact under the direction of management.

• Escalate matters of concern to the appropriate supervisory personnel and work with management to resolve issues.

• Track metrics and design management reports that evidence trends

What do you need to succeed?

Must-have

• Bachelor's degree or equivalent experience within the securities industry

• 3+ years of financial services industry experience

• Excellent written and verbal communication skills

• Strong Microsoft Office Suite skills

• Ability to work in a team environment and collaborate with others.

• Maintains a high regard for the confidentiality of information learned from surveillance activities.

Nice-to-have

• Desire to obtain Series 7 and Series 66 licenses.

• Analytical, inquisitive, and creative

• Ability to adapt to a changing, fast paced work environment.

• Takes initiative to drive to clear outcomes.

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 a dynamic, collaborative, progressive, and high-performing team

• Flexible work/life balance options

• Opportunities to do challenging work.

• Opportunities to take on progressively greater accountabilities.

• Access to a variety of job opportunities across business

The expected salary range for this particular position is $50,000-$85,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

• Drives RBC's high-performance culture

• Enables collective achievement of our strategic goals

• Generates sustainable shareholder returns and above market shareholder

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.