Manager, Communications Surveillance

RBC; Toronto; On-site; CAD 80,000 - 110,000; Full time

Job summary

A leading financial institution in Toronto seeks a Communications Surveillance Manager to provide surveillance coverage and mitigate risk by detecting and escalating compliance issues. The ideal candidate will have over 5 years of experience in the financial industry, strong compliance knowledge, and excellent communication skills. This role allows for meaningful impact within an agile team environment.

Benefits

Comprehensive Total Rewards Program

Flexible benefits

Competitive compensation

Qualifications

• 5+ years of relevant experience in financial industry.
• Detailed understanding of compliance issues facing Broker-Dealers.
• Knowledge of Capital Markets products and services.

Responsibilities

• Conduct routine review of electronic and audio communications.
• Ongoing assessment of surveillance efficiency and reporting.
• Manage the escalation and resolution of items that may present concerns.

Skills

Strong understanding of Capital Markets Sales & Trading

Experience in a compliance and/or surveillance role

Strong written and verbal communication skills

Critical Thinking

Strong analytical skills

Education

University degree

Job description

Overview

As Communications Surveillance Manager, you will provide surveillance coverage to relevant business units in line with industry best practices, provide top-tier support to the business lines serviced and mitigate risk for RBC by detecting and escalating compliance issues. You will cross train amongst the team for redundant coverage and seek efficiencies and both strategic and tactical improvements to the communications surveillance program.

Responsibilities

• Conduct routine review of electronic and audio communications to ensure compliance with company policies and application regulations (i.e. CIRO, OSC)


• Ongoing assessment of surveillance efficiency and reporting to management


• Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact


• Manage the escalation and resolution of items that may present concerns


• Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues


• Maintain surveillance monitoring groups and provide metrics for reporting to management


• Conduct periodic trends and patterning review to identify potential compliance concern


• In this role, you will communicate and interact frequently with RBC partners and/or employees located across Canada and/or worldwide.

Qualifications

• 5+ years of relevant experience in financial industry with strong understanding of Capital Markets Sales & Trading and/or Investment Banking business


• Experience in a compliance and/or surveillance role and/or at a securities regulator


• Detailed understanding of compliance issues facing Broker-Dealers (Market Abuse and Market Manipulation, Information Barrier and Conflict of Interest)


• Knowledge of Capital Markets products and services


• Strong written and verbal communication skills


• Critical Thinking and strong analytical skills


• University degree

Nice-to-have

• CSC, CPH and/or Trader Training Course

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 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: 2025-09-26


• Application Deadline: 2025-10-11

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

Inclusion 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.

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