What is the opportunity?

The Manager, E-communications Surveillance and Systems Administration is responsible for supporting critical risk identification and mitigation initiatives for E-communications and trading & account activity, acts as a team lead to answer questions from Surveillance Analysts ((“Analysts”), and, under the direction of the Sr. Manager, is the point person on various initiatives.

What will you do?

• Develop expertise in the foundational and administrative structure of Compliance Accelerator, US WM’s primary E-communications surveillance system, in order to assist the Sr. Manager with optimization and administrator activities
• Build knowledge around the Risk department’s Electronic Message Review Procedure, as well as the corresponding regulatory/supervisory requirements, to perform ongoing evaluations of lexicon effectiveness and trends
• Contribute to the development of department-specific lexicon sets in order to capture risks unique to that department
• Serve as the initial escalation point for Analyst questions around E-Communications surveillance decision-making
• Cultivate a working knowledge of ProSurv, US WM’s trade supervision system, including its user interface and logic, to assist the Sr. Manager with administrative activities
• Develop the ability to assist the Sr. Manager on testing activities and monthly MARs data scrubbing, leading and overseeing monthly triage processing conducted by Analysts, etc.; at first under the guidance of the Sr. Manager, while developing skills to eventually test and scrub independently
• Create and manage a process to track the creation of and schedule regular updates to departmental procedures
• Leading and participating in initiatives as assigned

What do you need to succeed?

Must-have

• Bachelor’s degree or equivalent experience within the securities industry
• 5+ years of securities or financial markets experience with a background in risk, surveillance, supervision, or compliance
• Experience in interacting with Financial Advisors and Complex management
• Strong knowledge or financial services industry, industry rules, and regulations
• Series 7, 66, or ability to get required licenses within 12 months; Series 24 license a plus

Nice-to-have

• In depth knowledge of E-communications surveillance applications
• Working knowledge of trade surveillance and client relationship management applications
• Experience in working on simultaneous initiatives in a complex organization
• Ability to present innovative ideas and think outside the box

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $65,000-$115,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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 Performance Management, Investment Economics, Investment Risk, Investment Risk Management, Market Risk, Performance Management (PM), Risk Control, Risk Management, Standard Operating Procedure (SOP)

Additional Job Details

250 NICOLLET MALL:MINNEAPOLISMinneapolisUnited States of America40Full timeWEALTH MANAGEMENTRegularSalaried2025-04-302025-05-21

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.