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About the Role
Ensure designated front-office supervisory oversight of equities sales and trading activities are effectively implemented and sustained. This role involves maintaining supervisory desk procedures and working closely with business partners to help manage risk, and ensure compliance with internal policies, regulatory requirements, and control governance.
Responsibilities
- Develop business and product expertise with a focus on equities and listed derivatives to build and strengthen relationships with the sales and trading teams, business management, compliance, and senior management.
- Identify opportunities to streamline and enhance supervisory processes and leverage AI tools in partnership with technology and operations teams to improve efficiency.
- Perform timely regulatory supervisory reviews of sales and trading activities as a delegate for senior management to identify potential policy concerns or regulatory violations.
- Execute real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory requirements and internal policies and procedures.
- Lead in special projects as required by senior management, which may include the effective design and development of controls and process implementation in adherence to standing orders, compliance policies, and audit reviews and testing.
- Monitor regulatory developments and changes to policies for evaluating the impact on Global Markets business activities and alert the appropriate Trade Desk Supervisors and Business Managers.
- Provide training and guidance to front office teams on policy updates, best practices, and effective process controls that supports governance and risk management initiatives in line with firm policies and procedures.
- Proactively identify and escalate operational risk and control deficiencies in the business and assist in developing solutions and risk mitigating controls.
Requirements
- BA, MA or equivalent with an understanding of Capital Markets.
- Experience in Global Markets or related industry work in a brokerage environment.
- A solid understanding of Equities (Cash and Derivatives).
- Strong business judgment and the ability to make and support recommendations with ambiguity.
- Ability to work in a fast-paced environment under pressure, responding to demanding stakeholders with time sensitive deadlines.
- Excellent attention to detail and the ability to manage competing priorities.
- Strong written and oral communication skills.
- Good team player that is outgoing with a willingness to learn.
- CSC, CPH, IDSC or equivalent CIRO registration – must obtain upon joining.
- Series 7, 63, Trader Training or equivalent.
- Knowledge of Canadian and US regulatory environments.
- Experience with AI tools or data analysis systems.
Skills
- Business
- Business Reviews
- Communication
- Compliance Reporting
- Equities
- Equity Trading
- Fast-Paced Environments
- Global Market
- Operational Risks
- Regulations
- Strategic Objectives
Location
- ROYAL BANK PLAZA, 200 BAY ST:TORONTO
- Toronto
- Canada
Work Type
- Full time
- Regular
Education Level
- BA, MA or equivalent
Salary/Compensations
- $90,000.00 - $135,000.00
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
- Leaders who support your development through coaching and managing opportunities
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
- Flexible work/life balance options
About the Company
- We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- 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.