Senior Analyst, Communications Surveillance, CA

Job Description

What is the opportunity?

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.

Working hours : 9.00AM -6.00PM (Malaysia time Zone)

Supporting region : Canada [CA]

What will you do?

• ​Following and revising procedures for conducting monitoring and surveillance activities relevant to business unit.

• perform first level and second level reviews or flagged communications to identify potential compliance breaches

• Conducting monitoring and surveillance activities relevant to business unit.

• Identifying potential areas of compliance vulnerability and risk; developing corrective action plans for resolution of problematic issues and providing general guidance on how to avoid or deal with similar situations in the future.

• Maintain meticulous records of all investigations, ensuring that every alert has a clear, audit- ready rationale

• Responding to alleged violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative procedures

What do you need to Succeed ?

Must have

• Must completed bachelor degree in Finance, law Business or any discipline degree 

• 2-5 years of experience in Compliance, Internal Audit or Risk Management, specifically finance services industry

• Strong proficiency in English. You must be able to understand the region nuances and hidden meanings in the business communication

• Ability to handle highly confidential and sensitive information with absolute discretion

• Advanced proficiency in Excel to manage large dataset of communications logs

Nice-to-have

• Experience of Capital Markets or Wealth Management Compliance, a trading background or a finance degree or similar

• Good knowledge in Microsoft Excel, SQL or data visualization tools to help automate reporting

Job Skills

Additional Job Details

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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.