Top Benefits
About the role
Job Description
What is your opportunity?
You will be part of the RBC Compliance Surveillance Team, which is a core, global, second line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine (mostly automated), post-event monitoring of trading activity and communications (electronic and voice) for controlling and mitigating specific relevant risks (e.g. market abuse and manipulation) associated with the supported applicable lines of business (eg. Capital Markets, Wealth Management).
As the Director, Head of Trade Surveillance (Market Abuse) Canada, you are responsible for the day-to-day operations of the Trade Surveillance program, including the line management of Trade Surveillance managers and analysts, the effective and timely dispositioning of alerts and the leadership of the Surveillance program.
What will you do?
- Working with the Head of Surveillance, Canada to ensure RBC’s Trade surveillance (Market Abuse) program meets relevant regulatory rules, guidance and expectations in an effective, efficient and forward-looking manner.
- To provide leadership with respect to the development and execution of RBC’s Trade Surveillance Program.
- Lead a team of Trade surveillance managers and analysts responsible for providing Surveillance to in scope lines of business and segments (Capital Markets, Wealth Management, Direct Investing, GAM etc).
- Provide day to day management of the dispositioning of alerts, reports and tasks vital to the successful, effective and timely operation of the Trade surveillance program. As part of this to lead on the handling of the more complex trade surveillance alerts and investigations.
- Collaborate with the Surveillance Calibration, Validation, Analytics & Reporting team in refining and developing the Trade Surveillance Program for market abuse, including the calibration and management of RBC’s scenario inventory and development of Management Information.
- Collaborate with the Surveillance Strategy, Governance and Program team in the annual Surveillance Market Manipulation Risk Assessment (SMMARA) cycle and resultant prioritization of scenario builds.
- Drive forward efficiency, technical excellence, completeness and coverage of RBC’s Trade Surveillance.
- Ensuring the reporting of breaches of the Conduct Rules in a timely and appropriate manner to the Head of Surveillance Canada.
- Support the development of a strong and consistent compliance culture across all areas.
- Support regulatory enquiries and reviews.
- Recruit, retain and develop surveillance talents for trade surveillance teams.
What do you need to succeed?
- 10+ years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body with minimum 5 years of trade surveillance or compliance experience; as well as minimum of 5 years of people management experience.
- Broad and detailed knowledge of the Canadian marketplaces (TSX, MX) and regulatory framework including an excellent understanding of global Market Abuse framework; Universal Market Integrity Rules (UMIR); CIRO market conduct rules, etc.
- Strong understanding of trade surveillance program across different asset classes and lines of business. (eg. Equities, Listed Derivatives, Fixed Income/OTC)
- Knowledge of leading industry surveillance and case management tools
- Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc.
- Efficient time management and organizational skills / ability to meet deadlines and work under pressure.
- Strong interpersonal and communication skills.
- Effective people management skills with ability to motivate and inspire staffs.
- Ability to conduct duties expediently, aptitude for accuracy, attention to detail, and hands-on approach.
- Proactive approach and ability to work on own initiative
- University Degree.
Nice-to-have
- Experience of Capital Markets or Wealth Management business.
- A trading background or a finance degree or similar.
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 an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with senior level executives from many different parts of the organization
Job Skills
Capital Markets, Compliance Programs, Leadership, Market Manipulation, Trade Surveillance, Wealth Management
Additional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO
City:
Toronto
Country:
Canada
Work hours/week:
37.5
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-12-02
Application Deadline:
2026-01-03
Note**:** Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I****nclusion 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.
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 jobs.rbc.com.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
Top Benefits
About the role
Job Description
What is your opportunity?
You will be part of the RBC Compliance Surveillance Team, which is a core, global, second line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine (mostly automated), post-event monitoring of trading activity and communications (electronic and voice) for controlling and mitigating specific relevant risks (e.g. market abuse and manipulation) associated with the supported applicable lines of business (eg. Capital Markets, Wealth Management).
As the Director, Head of Trade Surveillance (Market Abuse) Canada, you are responsible for the day-to-day operations of the Trade Surveillance program, including the line management of Trade Surveillance managers and analysts, the effective and timely dispositioning of alerts and the leadership of the Surveillance program.
What will you do?
- Working with the Head of Surveillance, Canada to ensure RBC’s Trade surveillance (Market Abuse) program meets relevant regulatory rules, guidance and expectations in an effective, efficient and forward-looking manner.
- To provide leadership with respect to the development and execution of RBC’s Trade Surveillance Program.
- Lead a team of Trade surveillance managers and analysts responsible for providing Surveillance to in scope lines of business and segments (Capital Markets, Wealth Management, Direct Investing, GAM etc).
- Provide day to day management of the dispositioning of alerts, reports and tasks vital to the successful, effective and timely operation of the Trade surveillance program. As part of this to lead on the handling of the more complex trade surveillance alerts and investigations.
- Collaborate with the Surveillance Calibration, Validation, Analytics & Reporting team in refining and developing the Trade Surveillance Program for market abuse, including the calibration and management of RBC’s scenario inventory and development of Management Information.
- Collaborate with the Surveillance Strategy, Governance and Program team in the annual Surveillance Market Manipulation Risk Assessment (SMMARA) cycle and resultant prioritization of scenario builds.
- Drive forward efficiency, technical excellence, completeness and coverage of RBC’s Trade Surveillance.
- Ensuring the reporting of breaches of the Conduct Rules in a timely and appropriate manner to the Head of Surveillance Canada.
- Support the development of a strong and consistent compliance culture across all areas.
- Support regulatory enquiries and reviews.
- Recruit, retain and develop surveillance talents for trade surveillance teams.
What do you need to succeed?
- 10+ years of related work experience at a financial institution and/or regulated securities dealer/and or securities regulatory body with minimum 5 years of trade surveillance or compliance experience; as well as minimum of 5 years of people management experience.
- Broad and detailed knowledge of the Canadian marketplaces (TSX, MX) and regulatory framework including an excellent understanding of global Market Abuse framework; Universal Market Integrity Rules (UMIR); CIRO market conduct rules, etc.
- Strong understanding of trade surveillance program across different asset classes and lines of business. (eg. Equities, Listed Derivatives, Fixed Income/OTC)
- Knowledge of leading industry surveillance and case management tools
- Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc.
- Efficient time management and organizational skills / ability to meet deadlines and work under pressure.
- Strong interpersonal and communication skills.
- Effective people management skills with ability to motivate and inspire staffs.
- Ability to conduct duties expediently, aptitude for accuracy, attention to detail, and hands-on approach.
- Proactive approach and ability to work on own initiative
- University Degree.
Nice-to-have
- Experience of Capital Markets or Wealth Management business.
- A trading background or a finance degree or similar.
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 an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with senior level executives from many different parts of the organization
Job Skills
Capital Markets, Compliance Programs, Leadership, Market Manipulation, Trade Surveillance, Wealth Management
Additional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO
City:
Toronto
Country:
Canada
Work hours/week:
37.5
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-12-02
Application Deadline:
2026-01-03
Note**:** Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I****nclusion 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.
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 jobs.rbc.com.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.