Associate Director, Communication Surveillance Strategy, Governance & Program

Come Work with Us!

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

Associate Director, Communication Surveillance Strategy, Governance & Program

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?

• Work with regional teams to define the business and technology requirements for the surveillance program centrally including, technology selection, surveillance development etc.
• 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
• 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.
• Contribute to the identification of areas of improvement based on the risk assessment findings and other key inputs
• Execution of roadmap for the development, enhancement and implementation of the communication surveillance program
• Contribute to and participate in the global training requirements for communications surveillance
• Perform advisory role responsibilities for communications surveillance centric queries and projects globally
• Adhere to, maintain, and contribute to the improvements of, the operating model for surveillance design and development

What do you need to succeed?

• Experience performing and/or supporting surveillance activities for institutional sales and trading businesses
• Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators is a plus
• To be able to contribute to management’s ability to make informed and risk based decisions on priorities
• Bachelor’s Degree or equivalent experience
• Good knowledge of industry best practice relating to surveillance techniques and methodology specifically focused on communications surveillance within Capital Markets
• Some experience with suitability and sales practices surveillance and technical knowledge of retail securities regulatory requirements
• To influence decisions by providing input, reasoned judgement and insight
• Ability to act independently, innovate and manage change, competing priorities and uncertainty
• To be able to solicit feedback and actively listen
• 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
• Ability to work well with cross-regional teams and create a collaborative environment and ability to work effectively within a matrix organizational structure.
• Experience with Trading Systems

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.

• Ability to make a difference and lasting impact
• Opportunities to do challenging work
• Opportunities to building close relationships with clients
• Work in a dynamic, collaborative, progressive, and high-performing team
• Leaders who support your development through coaching and managing opportunities
• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable

Job Summary

Address:

TORONTO, Ontario, Canada

City:

CAN-ON-TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Group Risk Management

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2023-06-14

Application Deadline:

Inclusion 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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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.