Royal Bank of Canada

Manager, Wealth Management Surveillance

Royal Bank of Canada$90K — $120K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 3+ years of experience in the investment industry and/or compliance
  • University Degree with Canadian Securities and Conducts and Practice Course
  • Understanding of equity, derivatives, and fixed income securities
  • Strong technical skills with knowledge of Microsoft Office (Access, Word, Excel)
  • Self-starter able to manage a fast-paced environment with tight deadlines

Responsibilities

  • Conduct daily, weekly, and ad hoc reviews following IIROC regulations
  • Perform second level reviews and additional testing as required
  • Analyze trading reports to identify potential financial, reputational, and regulatory risks
  • Ensure completion of trade reviews within mandated timeframes
  • Escalate issues to management and advise on trading policies and procedures
  • Draft policies and procedures and conduct IT testing
  • Handle special projects as assigned

Benefits

  • Comprehensive Total Rewards Program with bonuses and flexible benefits
  • Support for personal development through coaching and management opportunities
  • Work in a dynamic and collaborative team environment
  • Challenging work opportunities
  • Competitive compensation package
Full Job Description
Job Description

What is the opportunity?

As Manager, Wealth Management Surveillance, you will monitor the compliance of the Retail Division of RBC Dominion Securities Inc. You will reinforce securities legislation, the rules of the Investment Industry Regulatory Organization of Canada (IIROC) and internal policies and procedures as they relate to trading activity and business conduct.

What will you do?
  • Conduct daily, weekly, monthly and ad hoc reviews in accordance with IIROC Rule 2500 and other regulatory and firm requirements.
  • Conduct additional second level reviews and testing as required.
  • Analyze trading reports identifying potential areas of risk (financial, reputational, and regulatory), advise management of potential issues as they arise, make recommendations with regards to courses of action.
  • Ensure daily, monthly and enhanced trade reviews are completed within the mandated timeframe.
  • Escalate issues to the business and management as required and advise the business on trading related policies and procedures and/or regulations as required.
  • Perform reporting, draft policies and procedures, conduct IT testing
  • Special projects as assigned.


What do you need to succeed?

Must-have
  • 3+ years of experience in the investment industry and/or compliance
  • University Degree, plus Canadian Securities and Conducts and Practice Course
  • Understanding of equity, derivatives and fixed income securities
  • Strong technical skills with a good working knowledge of the Microsoft Office applications (Access, Word, Excel)
  • Self-starter with the ability to work in a fast-paced, unpredictable environment with tight deadlines

Nice-to-have
  • Fluent in French and English, with strong reading, writing and speaking skills in each language
  • Derivatives and Futures Licensing Courses
  • Trader Training Course
  • Knowledge of the securities industry and securities operations
  • Strong analytical acumen, problem-solving and attention to detail


What's in it for you?

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
  • A comprehensive Total Rewards Program including bonuses and flexible benefits and 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


Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-07-24

Application Deadline:

2026-08-24
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

About Royal Bank of Canada

Royal Bank of Canada Careers

Join the dynamic team at Royal Bank of Canada (RBC), a global leader in financial services and a company committed to excellence and innovation. At RBC, we offer a wide range of job opportunities that empower professionals to shape their career paths with leadership, diversity training, and continuous growth.

Work You’ll Do

At Royal Bank of Canada, we are not just hiring; we are building a culture of innovation and leadership. Our team members are at the forefront of the financial industry, driving transformation and delivering targeted solutions that meet the evolving needs of our clients and communities.

Explore Job Opportunities and Employment at RBC

Whether you are starting your career or looking to take it to the next level, RBC offers positions that challenge your skills and fuel your ambition. From entry-level positions to leadership roles, our job opportunities span across various functions and regions. Join us and be part of a team that values professional growth and diversity.

Internship and Professional Development

Kickstart your career with an internship at Royal Bank of Canada. Our internships provide invaluable hands-on experience, networking opportunities, and insights into the financial services industry. Interns at RBC gain the skills necessary to excel and are often considered for full-time positions within the company.

Benefits and Culture

At RBC, we prioritize the well-being and satisfaction of our employees. Our benefits package is designed to support our team members at every stage of their life and career. RBC’s culture is built on a foundation of respect, integrity, and responsibility, fostering an environment where everyone can thrive.

Career Growth and Innovation

We believe in nurturing the potential of our employees through continuous learning and career development programs. At RBC, you will find endless opportunities to grow professionally through on-the-job experiences, formal training programs, and leadership development initiatives. Our commitment to innovation means we are constantly seeking out new ideas and perspectives, making RBC a perfect place for those who aim to lead and innovate.

Diversity and Inclusion

Diversity is our strength. At Royal Bank of Canada, we are committed to building an inclusive workplace where every employee feels valued and respected. Our diversity training programs are designed to educate and inspire, creating a more inclusive and equitable workplace.

Join Our Team

Search open positions that match your skills and interests. We look for passionate, curious, creative, and solution-driven team players. Start your journey with RBC today and be part of a world-class team known for its commitment to client service, community involvement, and innovation.

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Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities awaiting you at RBC. Explore the possibilities with Royal Bank of Canada, where your future is filled with potential and the path to success is paved with countless opportunities for professional and personal growth. Join us and shape not just your career but the future of the financial industry.
Learn more about Royal Bank of Canada
Size
86,007 employees
Market Cap
$130.3 billion
Industry
5 Year Trend
+8.7%
NASDAQ

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