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Compliance Surveillance Analyst - Communications

What is the opportunity?
Work as part of the Team providing Central Compliance Services to Investor and Treasury Service, RBC Capital Markets, Global Asset Management UK and Wealth Management, London. Conduct and drive forward RBCs audio and e-communications monitoring, as well as the wider surveillance function; support the delivery of core elements of the Compliance Management Plan as it relates to communications 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.

What will you do?
  • Conduct reviews of electronic and audio communications
  • Intergrate the activity with trade surveillance exceptions
  • 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 Investigations
  • Ongoing development of reports, systems and processes in order to maintain a cutting edge audio and e-communications monitoring program
  • Completion of ad-hoc projects as required

What do you need to succeed?

  • Broad knowledge of the UK regulatory framework, including an excellent understanding of the FCA Conduct of Business and Market Abuse rules, or a willingess and capacity to learn
  • Ability and willingness accountability demonstrate initiative, work with limited direct supervision and support effective cross-unit co-operation, information sharing etc.

  • 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.
  • Experience of Capital Markets or Wealth Management Compliance
  • Trading background or a finance dregree.

What's in it for you?
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.


About RBC
Royal Bank of Canada is Canada's largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visit .

Inclusion and Equal Opportunity Employment
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.

City: City of London
Address: Riverbank House
Work Hours/Week: 35
Work Environment: Office
Employment Type: Permanent
Career Level: Experienced Hire/Professional
Pay Type: Salaried
Position Level: PL08
Required Travel(%): 0-25
Exempt/Non-Exempt: N/A
People Manager: No
Application Deadline: 2017-11-30
Req ID: 149915

Flexible Working Options Considered