RBC Careers – Surveillance Analyst

Job Description:

Work as part of the EMEA & APAC Trade Surveillance team providing Market Abuse and Market Conduct Surveillance to Capital Markets (CM), Global Asset Management (GAM), Wealth Management (WM), and Investor and Treasury Services (I&TS) across RBC’s European businesses. Support the delivery of core elements of the Compliance Management Plan (see responsibilities below) as it relates to Monitoring and Surveillance on a timely and consistent basis and in accordance with this mandate and agreed goals/objectives, and Support the development of a strong and consistent Compliance culture across all areas of the CM, WM, GAM, and I&TS operations in Europe.

Job Responsibilities:

• Design of bespoke surveillance models to perform in-depth testing on risks identified as part of the annual Compliance desk review monitoring program
  Take responsibility for a range of Compliance Trade Surveillance activities across each platform
  Streamlining the provision of management information from the Surveillance Team
  Provide analysis of market abuse related escalations from the Communications Surveillance Team
  Responsible for the ongoing development of surveillance reports, systems, and processes for the monitoring of each platform

Job Requirements:

• Advanced Excel / VBA skills
• Broad knowledge of the UK regulatory framework including an excellent understanding of the FCA Conduct of Business, EU Market Abuse Regulation, and global Market Abuse framework.
• Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision, and support effective cross-unit co-operation, information sharing, etc.
• Solid working knowledge of IT systems and Microsoft Office Products.
• Ideally educated to at least first-degree level with a relevant degree, hold a recognised relevant professional qualification, or be willing to study for the same.
• Sound working knowledge of applicable laws and regulations
• Sound working knowledge of SMARTs and Actmize or Kx preferred, or willing to learn.
• Mathematical and problem-solving ability.
• Trading or Sales experience in, or strong background in Market Abuse Surveillance of Government Bonds, Credit or Swaps
• Experience in trade surveillance, a trading background, or a strong numerical degree.

Job Details:

Company: RBC

Vacancy Type: Full Time

Job Location: London, England, UK

Application Deadline: N/A

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