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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