Compliance Surveillance Analyst recruitment
Work as part of the Team providing Central Compliance Services to RBC Capital Markets (RBCCM) and Wealth Management (WM) London
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 Capital Markets and WM operations in London
PRIMARY RESPONSIBILITIES
Support the ongoing operation of RBC’s Central Compliance team, as directed. The core activities of the Central Compliance team in London impacting on the employee will include:
Have responsibility for a range of Compliance trade surveillance activities covering a variety of products across the Capital Markets platform
Assist in the implementation of the new Global Trade Surveillance System
Ongoing development of surveillance reports, systems and processes
Streamlining the provision of management information from the Surveillance Team
Assist in the completion of the annual Compliance desk review monitoring program
EDUCATION /OR EXPERIENCERequired
• An officer with a broad knowledge of the UK regulatory framework including an excellent understanding of the FSA Conduct of Business and Market Abuse rules or a willingness and capacity to learn.
• Experience of Capital Markets Compliance trade surveillance, a trading background or a strong numerical dregree.
• Ability and willingness to accept accountability, demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc.
- MUST HAVE excellent Excel skills, (some programming experience desired), ability to write Macro's
Preferred
• Trading or Sales background.
• Mathematical and problem solving ability.
• 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.
COMPETENCIES Behavioural
• Professional demeanor
• Strong interpersonal and communication skills
• Partnership mentality with respect to rest of RBC enterprise, including other functions
• Strong time management and organisational skills / ability to meet deadlines and work under pressure
• Flexible, team player.
• Proactive approach and ability to work on own initiative; and
• Ability to conduct duties expediently, aptitude for accuracy, attention to detail, and hands-on approach
Technical
• Advanced Excel skills.
• Solid working knowledge of the Company’s IT systems and Microsoft Office Products.
• Sound working knowledge of applicable laws and regulations.
- Sound working knowledge of applicable internal policies and procedures.