Lead Trade Surveillance Manager - Capital Markets Compliance

RBC; Toronto; On-site; CAD 90,000 - 130,000; Full time

Benefits offered by this job

Total rewards program with bonuses

Flexible work arrangements

Career development & training

Job summary

RBC is seeking a Manager, RMFI Trade Surveillance to lead daily and periodic reviews of sales and trading activity in Canada, focusing on mutual funds. You will participate in projects with Compliance IT, maintain records, and compile metrics for reporting to senior management.

This role requires 4–6 years of experience in financial compliance and strong analytical skills. You will partner with cross‑functional teams in a second‑line-of-defense function, drive process improvements, and support

Qualifications

• 4–6 years of experience at a financial institution/regulatory body.
• Knowledge of mutual fund/securities rules (CIRO, OSC).
• Business knowledge of mutual fund distribution activities.
• Bachelor’s degree or equivalent.
• Understanding of suitability and sales practices and regulatory rules.
• Strong analytical, critical thinking, and problem‑solving skills.
• Excellent written and verbal communication skills.

Responsibilities

• Conduct routine reviews of trades in retail RMFI accounts to ensure compliance with policies and regulations.
• Assist team members in handling complex trade surveillance alerts and investigations.
• Support the Associate Director in managing daily alerts escalation and resolution timelines.
• Conduct targeted reviews in response to inquiries from internal stakeholders or regulators.
• Assess surveillance efficiency and provide ongoing reporting to management.
• Maintain surveillance monitoring groups and provide metrics for reporting.

Skills

Audits

Compliance

Critical Thinking

Data Gathering

Decision Making

Financial Regulation

Industry Knowledge

Interpersonal Skills

Product Services

Risk Management

Strategic Thinking

Education

Bachelor's degree

Job description

RBC is seeking a Manager, RMFI Trade Surveillance to lead daily and periodic reviews of sales and trading activity in Canada, focusing on mutual funds. You will participate in projects with Compliance IT, maintain records, and compile metrics for reporting to senior management.

This role requires 4–6 years of experience in financial compliance and strong analytical skills. You will partner with cross‑functional teams in a second‑line-of-defense function, drive process improvements, and support