U.S. Trade Surveillance Analyst

Review trading data from multiple front-end systems, technology, and third-party vendor systems.

Inform relevant compliance and legal personnel of suspicious activity or unusual trading patterns.

Explore and optimize surveillance methodologies in partnership with stakeholders to enhance efficiency and identify new or improved controls.

Evaluate ongoing calibrations with Surveillance team members to minimize risk and false positives.

Develop and maintain in-depth knowledge of financial markets, regulatory changes, and surveillance industry trends.

Manage multiple projects, perform surveillance, and deliver tasks promptly.

Provide support for targeted reviews in response to inquiries from Compliance, Legal, or Human Resources.

Interpret and investigate substantive findings for context and potential impact.

Minimum of 2-5 years of experience in the brokerage industry, with familiarity in securities industry regulations, practices, and operations.

In-depth knowledge of rules and regulations governing the securities industry Wealth Management advisory markets.

Strong analytical and investigative skills.

Solid verbal and written communication skills.

Capital Markets Trade Surveillance Experience

Effective organizational skills, including the ability to prioritize multiple tasks and meet deadlines.

Ability to effectively analyze organizational risk for potential issues.

Ability to work independently and collaboratively in a team setting.

Strong understanding of various products offered at RBCWM.

Previous trade surveillance, compliance, or trading experience at a broker-dealer.