E-Communication Surveillance Analyst

Job Summary

The US Capital Markets Electronic Communication Surveillance Group ( ECSG ) is responsible for conducting surveillance of electronic communications pursuant to FINRA Rule 3110.

• Members of the ECSG will be expected to provide surveillance coverage to relevant business units in line with industry best practices;
• provide top-tier support to the business lines serviced; mitigate risk for RBC by detecting and escalating compliance issues;

cross train amongst the team for redundant coverage; and seek efficiencies and both strategic and tactical improvements to the surveillance program.

Job Description

What will you do?

• Conduct routine review of electronic communications to ensure compliance with company policies and application regulations (i.e., FINRA, SEC)
• Assess communications for regulatory concerns
• Identifies potential Compliance concerns, recommends remedial actions, and validates remediation
• Ongoing assessment of surveillance efficiency and reporting to management
• Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact
• Manage the escalation and resolution of items that may present concerns
• Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues
• Maintain surveillance monitoring groups and provide metrics for reporting to management
• Perform UAT testing as required
• Travel Not Required

What do you need to succeed?

Must-have

• 2-4 years of experience in a similar role
• BA, BS or equivalent
• Knowledge of FINRA, NYSE, SEC and MSRB rules and regulations
• Prior experience at a securities regulator (i.e., FINRA, SEC, NYSE)
• Experience interacting with Supervisors and senior Compliance & Legal personnel
• Experience preparing clear and concise reports in a timely fashion, documenting applicable business requirements and regulatory concerns

Nice-to-have

• Advanced degree
• Series 7 and 63 licenses are optional, and candidate will be permitted to complete exams
• Detailed understanding of compliance issues facing Broker-Dealers

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 competitive compensation, bonuses, and flexible benefits.
• Continued opportunities for career advancement
• World-class sales training, coaching, and development opportunities
• Support from a dynamic, collaborative, progressive, and high performing team, as well as world-class tools and training
• Opportunity to achieve great success and grow your career with RBC
• The good-faith expected salary range for the above position is $65,000 - $105,000 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 of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions;

health, dental, vision, life and disability insurance; and paid time-off plan.

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

LI-POST

LI-Hybrid

Job Skills

Communication, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Strategic Thinking, Surveillance

Additional Job Details

Address :

30 HUDSON STREET : JERSEY CITY

City : Jersey City

Jersey City

Country :

United States of America

Work hours / week : Employment Type :

Employment Type : Full time

Full time

Platform : LAW AND COMPLIANCE

LAW AND COMPLIANCE

Job Type : Regular

Regular

Pay Type : Salaried

Salaried

Posted Date : 2024-09-04

2024-09-04

Application Deadline :

2024-10-09

I nclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.

We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.

We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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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 .