E-Communications Surveillance Analyst

Royal Bank of Canada•Jersey City, NJ

11d•$90,000 - $125,000•Onsite

About The Position

The US Capital Markets Electronic Communication Surveillance Group (“ECSG”) is responsible for conducting surveillance of electronic communications pursuant to FINRA Rule 3110. Members of the ECSG will be expected to (i) provide surveillance coverage to relevant business units in line with industry best practices; (ii) provide top-tier support to the business lines serviced; (iii) mitigate risk for RBC by detecting and escalating compliance issues; (iv) cross train amongst the team for redundant coverage; and (v) seek efficiencies and both strategic and tactical improvements to the surveillance program.

Requirements

Bachelor’s Degree (BA or BS) in Business or Finance preferred
Minimum of 2-5 years of experience in the brokerage industry, providing familiarity with Capital Markets, securities industry regulatory environment, practices and operations
Knowledge of FINRA, NYSE, SEC and MSRB rules and regulations.
Experience interacting with Supervisors, Desk Heads and senior Compliance & Legal personnel.
Experience preparing clear and concise reports in a timely fashion, documenting applicable business requirements and regulatory concerns.
Detailed understanding of compliance issues facing Broker-Dealers
Strong written and verbal communication skills
Creative thinker

Nice To Haves

Prior experience at a securities regulator (i.e., FINRA, SEC, NYSE) preferred but not necessary
Series 7 and 63 licenses are nice to have, but not required.
Second Language a plus, but not required.

Responsibilities

Conduct routine review of electronic communications to ensure compliance with company policies and application regulations (i.e. FINRA, SEC)
Ongoing assessment of surveillance efficiency and reporting to management
Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact
Manage the escalation and resolution of items that may present concerns
Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues
Maintain surveillance monitoring groups and provide metrics for reporting to management
Perform UAT testing as required

Benefits

bonuses
flexible benefits
competitive compensation
commissions
stock where applicable
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 building close relationships with clients
discretionary bonus
401(k) program with company-matching contributions
health, dental, vision, life and disability insurance
paid time-off plan