Description
You will provide surveillance to RBC Capital Markets, Global Asset Management and Wealth Management and Transaction Banking and Treasury Services.
You will support the delivery of core elements of the Compliance and Surveillance Program as it relates to communications on a timely and consistent basis and in accordance with this mandate and agreed goals/objectives.
Responsibilities
- Conduct reviews of electronic and audio communications and integrate the activity with the wider Surveillance team
- Drive forward RBC’s general electronic and audio communications monitoring functionality
- Instigate proactive and bespoke searches and techniques across a wide range of communication platforms
- Facilitate e-mail retrievals and assist with Compliance investigation
- Ongoing development of reports, systems and processes in order to maintain a cutting-edge audio and e-communications monitoring program
Requirements
- Analytical and problem solving abilities
- An ability and willingness to accept accountability, work with limited direct supervision and support effective cross-unit co-operation
- A professional demeanor, investigative analysis and attention to detail
- A proactive approach and an ability to work using your own initiative
Nice to have
- Experience of Capital Markets or Wealth Management Compliance, a trading background or a finance degree or similar
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