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Associate Director – Surveillance Projects

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Brewin Dolphin

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Location:
United Kingdom , London

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Category:

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Contract Type:
Not provided

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Salary:

Not provided

Job Description:

Trade Surveillance Associate Director to work as part of the EMEA & APAC Trade Surveillance team providing Market Abuse and Market Conduct Surveillance to Capital Markets (CM), Global Asset Management (GAM), Wealth Management (WM) across RBC's European businesses. The role will support the delivery of core elements of the Compliance Management Plan, 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 CM, WM and GAM operations in Europe.

Job Responsibility:

  • Responsible for the development and maintenance of key EUC's for trade surveillance across all asset classes
  • Responsible for developing the analysis of RBC traders by surveillance, including working with other functions to include data from outside the surveillance functions into the tool and dashboards
  • Working with senior management on ad-hoc and potentially confidential investigations
  • Developing Tableau dashboards in response to business needs
  • Specific responsibility for running and escalating anomalies in Singapore Benchmark (SORA) submission

Requirements:

  • Broad knowledge of the UK regulatory framework including an excellent understanding of the FCA Conduct of Business, EU Market Abuse Regulation and global Market Abuse framework
  • Experience of trade surveillance, a trading background or a strong numerical degree
  • Coding ability in C#, Java or Python
  • Sound working knowledge of Nasdaq Trade Surveillance, TradingHub MAST and Kx preferred, or willingness to learn
  • Advanced Excel / VBA skills
  • Sound working knowledge of Tableau or similar
  • Strong understanding of data transformation
  • Solid working knowledge of IT systems and Microsoft Office Products

Nice to have:

Kx experience

What we offer:
  • A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Opportunities to work with the best in the field
  • Ability to make a difference and lasting impact
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • A world-class training program in financial services
  • Flexible working options fully supported

Additional Information:

Job Posted:
February 14, 2026

Expiration:
February 16, 2026

Employment Type:
Fulltime
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