Associate Director, Capital Markets Surveillance Strategy Officer

What is the opportunity?

Global Surveillance within Compliance is responsible for detecting possible price manipulation, insider trading and inappropriate trading practices by RBC personnel, and were applicable by clients. The Surveillance Strategy and Governance teams are responsible for defining and executing on the technology strategy and overseeing the implementation of surveillance systems and scenarios. The successful candidate is someone who is extremely well organized, articulate, and can drive a surveillance project to completion.

What will you do?

• Drive Surveillance projects by working with business and technology teams to resolve issues. Examples of these projects include: Working with the firms Governance teams (such as AI Governance, Model Validation, Data Privacy) to get a new machine learning model approved for Surveillance; Implementing such a model or system.
• Work with the global heads of Communication Surveillance Strategy and Trade Surveillance Strategy to report the status of major strategic programs (Compliance Strategic Priorities, PAR status, Planview status, Surveillance Oversight, and other periodic status updates) and help resolve issues and obstacles.
• Prepare the Surveillance Strategy and Governance teams for any internal reviews (e.g., audit), or external reviews (e.g., regulators, monitors, or other 3rd party reviewers).
• Work with the Surveillance Strategy and Governance teams to update Surveillance procedure manuals for change the bank surveillance processes. Work with Surveillance and Compliance Technology to document global standards for trade surveillance scenario development, and feed on-boarding processes.
• Work with various Surveillance teams to coordinate, complete, and track (if necessary) Supplier Risk Management Application (SRMA) assessments, Integrated Risk Profiles (IRPs), project approval requests (PARs), Master Services Agreements (MSAs), contracts, statements of work (SoWs), change requests (CRs), invoices, self-identified issues, findings, action plans.

What do you need to succeed?

Must-have

• Bachelor's degree or higher degree.
• 7-10 or more years of experience in a core area of Capital Markets trading (Surveillance, Operations, Product Control, Front Office).
• General knowledge of trading processes and/or trade compliance.
• Experience interacting with senior management within Compliance, Compliance Technology, Front Office Technology.

Nice-to-have

• Experience with agile methodology.
• Experience interacting with internal audit and external regulators.
• Experience working in a matrix organization structure.

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

For New Jersey Only: The good-faith expected salary range for the above position is $110,000 - $190,000 USD depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements that comprise our total compensation package, which includes the following: commission sharing eligibility for select roles, a discretionary bonus, a paid time-off plan, our 401(k) program with company-matching contributions, and our health, dental, vision, life and disability insurance.

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 value

Job Skills

Additional Job Details

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