Global Markets Supervision

Job title:

Global Markets Supervision

Company

Royal Bank of Canada

Job description

Job Summary To ensure that the designated Front Office supervisory activities are effectively implemented and are sustained. This will include maintaining operating desk procedures, designing and implementing tools to assist the Front Office to meet and govern risk management related responsibilities and objectives in an efficient and consistent manner across the global teams with appropriate control assurance procedures.

Assist management to ensure compliance with all rules, regulations, and internal controls and promptly deal with any issues as they arise.

Job Description

PRIMARY RESPONSIBILITIES:

Ensure that all Business Supervisory Procedures are completed on time.

Review regulatory and compliance reports to ensure the business is in compliance with industry regulations and RBC standards.

Conduct regular reviews to confirm that control / oversight are being conducted as designed.

Proactively identify operational risks / control deficiencies in the business and design appropriate action plans to address.

Maintain files and back-up for all regulatory, compliance and risk matters.

Work with Business Management and IT to develop techniques, tools, and processes required to maintain proper records and ensure regular reviews.

Ensure attestation on all supervisory functions such as book ownership, application access, EUC, etc. are performed and completed as required.

Work with Global Markets Business Management team to improve supervisory controls and adherence to compliance and regulatory requirement.

Assist in the effective design and execution of appropriate controls and for implementing a continuous monitoring regime with regard to audit issues, operational risk issues, compliance programs, adherence to standing orders etc.

Ensure timely completion of management action plans from risk assessments, internal audits and regulatory reviews.

Communicate and educate staff on new and existing Standing Orders and Firm policies.

Proactively identify operational risks/ control deficiencies in the business

Review and comply with Firm Policies applicable to your business activities.

Escalate operational risk loss events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions promptly

EDUCATION AND EXPERIENCE:

Required:

BA, MA, MS or equivalent with a detailed understanding of Global Markets sales and trading business lines

Minimum 2 years industry experience

Solid understanding of the processing and control environments for equities (cash and derivatives)

Previous proven experience of related work in a financial services or brokerage firm environment

Strong business judgement, ability to make and support recommendations without complete information

Strong written and oral communication skills Detail oriented/organized and results driven

Good team player

Ability to work in a fast paced environment

Preferred:

CSC, CPH, Trader Training, Series 7, 63 an asset

Job Skills Business, Business Reviews, Communication, Compliance Reporting, Equities, Equities Trading, Fast-Paced Environments, Global Market, Operational Risks, Regulations, Strategic Objectives

Additional Job Details

Address: ROYAL BANK PLAZA, 200 BAY ST:TORONTO

City: TORONTO

Country: Canada

Work hours/week: 37.5

Employment Type: Full time

Platform: Capital Markets

Job Type: Regular

Pay Type: Salaried

Posted Date: 2023-11-17

Application Deadline: 2024-01-22

Inclusion 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.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

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 .

Expected salary

Location

Toronto, ON

Job date

Wed, 10 Jan 2024 05:45:26 GMT

To help us track our recruitment effort, please indicate in your email/cover letter where (un-jobs.net) you saw this job posting.