Job Description

What is the opportunity?

This US Trade Surveillance Analyst will perform second line of defense trade monitoring for firm and client trading activity to detect potential market abuse/manipulation practices for RBC Capital Markets. It will utilize vendor surveillance tools and internal systems to research alerts generated across different asset classes with an emphasis in Wealth management customer activity.

What will you do?

Review trading data emanating from multiple front-end trading systems, technology and third-party vendor systems and inform relevant compliance and legal folks of any suspicious activity or patterns of unusual trading.Explore surveillance methodologies used by the Trade Surveillance team and partner with relevant stakeholders to maximize the efficiency of existing reviews and identify potential new or enhanced controls.Evaluate ongoing calibrations with Surveillance members to determine the optimal mix of tuning and configuration to mitigate as much risk as possible while minimizing false positives (alert efficiency).Continue developing in-depth knowledge of financial markets and stay informed of regulatory changes and maintain subject matter expertise on surveillance industry trends and technology developmentHandle multiple projects, perform surveillance and deliver tasks in a timely manner.Provide support to targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact.

What do you need to succeed?

Must-have

Minimum of 2-5 years of experience in the brokerage industry, providing familiarity with securities industry regulatory environment, practices and operationsIn-depth knowledge of the rules and regulations governing the securities industryWealth Management advisory markets.Strong analytical and investigative skillsSolid verbal and written communication skills

Nice-to-have

Capital Markets Trade Surveillance ExperienceEffective organizational skills, including the ability to prioritize between multiple priorities and deadlines.Ability to effectively analyze risk to the organization of potential issues discoveredAbility to work independently and in a team settingStrong understanding of various products offered at RBCWMIndividual with previous trade surveillance, compliance or trading experience at a broker-dealer

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.

A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicableLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamFlexible work/life balance optionsOpportunities to do challenging workOpportunities to take on progressively greater accountabilities  Access to a variety of job opportunities across business

The good-faith expected salary range for the above position is $55,000-$95,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs.  This salary range does not include other elements that comprise our total compensation package, which includes the following: commission sharing eligibility for select roles, a discretionary bonus, a paid time-off plan, our 401(k) program with company-matching contributions, and our health, dental, vision, life and disability insurance.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

·       Drives RBC’s high performance culture

·       Enables collective achievement of our strategic goals

·       Generates sustainable shareholder returns and above market shareholder value

Job Skills

Business, Business Practices, Critical Thinking, Data Gathering Analysis, Decision Making, Exploration, Financial Markets, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking, Surveillance, Trade Surveillance, Trading Systems

Additional Job Details

Address:

250 NICOLLET MALL:MINNEAPOLIS

City:

Minneapolis

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-12-02

Application Deadline:

2026-02-27

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

Inclusion and Equal Opportunity Employment

At 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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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.

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.