Associate Director, Communication Surveillance Strategy, Governance & Program
City : TORONTO, Ontario, Canada
Category : Audit | Compliance | Legal | Risk
Industry : Financial/Banking
Employer : RBC
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At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.
Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.
Job Title
Job Description
What is the Opportunity?
You will be a part of a global team that is responsible for the development, enhancement and maintenance of communication and trade surveillance applications and platforms, executing Retail Securities Businesses Surveillance initiatives executing scenario and application development projects covering Wealth Management and Asset Management that extend to different product areas as well as Capital Markets.
What will you do?
Execution of roadmap for the development, enhancement and implementation of the communication surveillance program
Work with regional teams to define the business and technology requirements for the surveillance program centrally including, technology selection, surveillance development etc.
Adhere to, maintain, and contribute to the improvements of, the operating model for surveillance design and development
Contribute to and participate in the global training requirements for communications surveillance
Perform activities related to the global risk assessment framework specific to communications surveillance with focus on Retail Securities Businesses as well as some knowledge of Capital Markets
Contribute to the identification of areas of improvement based on the risk assessment findings and other key inputs
Support a centralized team within Surveillance that is responsible for the design and effectiveness of communication surveillance reviews that involves an assessment of business specifications, regulatory coverage, product coverage, implementation, etc.
Perform advisory role responsibilities for communications surveillance centric queries and projects globally
What do you need to succeed?
Bachelor’s Degree or equivalent experience
Experience performing and/or supporting surveillance activities for institutional sales and trading businesses
Some experience with suitability and sales practices surveillance and technical knowledge of retail securities regulatory requirements
Good knowledge of industry best practice relating to surveillance techniques and methodology specifically focused on communications surveillance within Capital Markets
Experience with Trading Systems
Experience working in a global organization with global teams across multiple regions, large and complex initiatives
Experience and communication skills necessary to interact regularly with senior management within Compliance and the business, in writing, in form of presentations and in-meetings
Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators is a plus
Ability to act independently, innovate and manage change, competing priorities and uncertainty
Ability to work well with cross-regional teams and create a collaborative environment and ability to work effectively within a matrix organizational structure.
To be able to solicit feedback and actively listen
To influence decisions by providing input, reasoned judgement and insight
To be able to contribute to management’s ability to make informed and risk based decisions on priorities
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
Opportunities to do challenging work
Opportunities to building close relationships with clients
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Inclusion and Equal Opportunity Employment
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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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