Manager, E-communications Surveillance & Systems Administration

RBC Capital Markets, LLC; Minneapolis (MN); On-site; USD 65,000 - 115,000; Full time

Job summary

An established industry player is seeking a Manager for E-communications Surveillance and Systems Administration. This pivotal role involves leading initiatives to identify and mitigate risks associated with E-communications and trading activities. You will develop expertise in key surveillance systems, contribute to regulatory compliance, and support a high-performing team. This dynamic position offers the chance to make a significant impact in a collaborative environment, where your insights will help shape the future of risk management. Join a forward-thinking organization that values innovation and teamwork, and take your career to the next level.

Benefits

Competitive total rewards

401(k) plan

Leadership support for development

Opportunity to make a lasting impact

Dynamic, collaborative team environment

Qualifications

• 5+ years of experience in securities or financial markets.
• Strong knowledge of financial services industry rules.

Responsibilities

• Develop expertise in E-communications surveillance systems.
• Manage updates for departmental procedures.

Skills

Business Performance Management

Investment Economics

Investment Risk

Risk Management

Market Risk

SOP

Education

Bachelor's degree in securities industry

Tools

Compliance Accelerator

ProSurv

Job description

Job Summary

What is the opportunity?

The Manager, E-communications Surveillance and Systems Administration is responsible for supporting critical risk identification and mitigation initiatives for E-communications and trading & account activity. Acts as a team lead to answer questions from Surveillance Analysts and, under the direction of the Sr. Manager, is the point person on various initiatives.

What will you do?

• Develop expertise in Compliance Accelerator, US WM's primary E-communications surveillance system, to assist the Sr. Manager with optimization and administrative activities.
• Build knowledge of the Risk department's Electronic Message Review Procedure and related regulatory requirements to evaluate lexicon effectiveness and trends.
• Contribute to developing department-specific lexicon sets to capture unique risks.
• Serve as the initial escalation point for Analyst questions regarding E-Communications surveillance decisions.
• Gain knowledge of ProSurv, US WM's trade supervision system, to assist with administrative tasks.
• Assist with testing activities and monthly data scrubbing, initially under guidance, then independently.
• Manage a process for updating departmental procedures.
• Lead and participate in initiatives as assigned.

What do you need to succeed?

Must-have

• Bachelor's degree or equivalent experience in securities industry.
• 5+ years of experience in securities or financial markets, with a background in risk, surveillance, supervision, or compliance.
• Experience interacting with Financial Advisors and management.
• Strong knowledge of financial services industry rules and regulations.
• Series 7, 66, or ability to obtain licenses within 12 months; Series 24 is a plus.

Nice-to-have

• In-depth knowledge of E-communications surveillance applications.
• Knowledge of trade surveillance and CRM applications.
• Experience managing multiple initiatives in a complex organization.
• Ability to present innovative ideas and think creatively.

What's in it for you?

We thrive on challenges, progressive thinking, and working together to deliver trusted advice. We value each other, potential, community impact, and mutual success.

• Competitive total rewards, including benefits and a 401(k) plan.
• Leadership support for your development.
• Opportunity to make a lasting impact.
• Work in a dynamic, collaborative, high-performing team.
• Challenging work opportunities.
• Build close client relationships.

The salary range is $65,000-$115,000, depending on experience, skills, and market conditions. Potential for additional earnings through RBC's discretionary variable compensation program.

Our compensation philosophy attracts, engages, and retains talent aligned with our strategic goals and shareholder value.

Job Skills

Business Performance Management, Investment Economics, Investment Risk, Risk Management, Market Risk, SOP

Additional Job Details

Address: 250 NICOLLET MALL, MINNEAPOLIS

City: Minneapolis

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2025-04-30

Application Deadline: 2025-05-21

Note: Applications accepted until 11:59 PM the day before the deadline.

Conclusion and Equal Opportunity Employment

RBC promotes an inclusive workplace with diverse perspectives. We support our employees to perform, collaborate, innovate, and grow professionally, fostering respect, belonging, and opportunity for all.

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