Associate Director, Wealth Management Surveillance

Overview

You will be part of the RBC Compliance Surveillance Team, which is a core, global, second‑line‑of‑defense function within Compliance. The team works closely with first‑line functions, 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—both electronic and voice—to control and mitigate specific relevant risks such as market abuse, manipulation, and suitability and sales practice risks within the supported retail businesses, including Wealth Management and Royal Mutual Fund.

Responsibilities

• Lead a surveillance program that ensures an effective monitoring program meeting the regulatory requirements set out in CIRO Rules and RBC Policies for Wealth Management (DS) and Royal Mutual Fund covering equities, fixed income, currencies, listed derivatives, commodities, mutual funds sales, and tra...