Investment Analytics & Trade Monitoring Manager

City National Bank • New York, NY

1d

About The Position

RBC Rochdale is an SEC-registered investment adviser and wholly-owned subsidiary of City National Bank, providing investment research, portfolio management, macroeconomic outlook, and strategic asset allocation. The Manager - Investment Guidelines and Trade Compliance Oversight establishes and develops the Compliance Trade Oversight Program, leading, configuring, and overseeing the design, implementation, and administration of the compliance rules engine within the Order Management System / Portfolio Management System. The role works to mitigate regulatory, operational, and market risks associated with regulatory and individual investment guideline requirements.

The manager interprets investment guidelines and regulatory requirements and translates them into system-based compliance rules, including configuring, coding, and validating rules across the OMS platform. The position oversees real-time pre- and post-trade violation monitoring, inquiries, and resolution in collaboration with Investment Management and Trading teams; manages and trains analysts; develops procedures with relevant business, technology, operations, legal, and compliance partners; maintains and tests compliance rules; and develops periodic reporting. The role also coordinates special projects across the Investment Analytics and Monitoring team, the business, and IT.

Requirements

• Bachelor's degree or equivalent.
• At least 7 years of experience in the financial services industry, with demonstrated hands-on experience implementing an order management system.
• Strong understanding of financial products and derivatives, including equities, fixed income, mutual funds, and exchange-traded funds.
• Familiarity with compliance breach analysis and remediation workflows.
• Understanding of trading workflows, including pre-trade and post-trade compliance rules subject to SEC, FINRA, ERISA, and banking regulatory frameworks.
• Thorough understanding of applicable laws and banking regulations.
• Proven leadership skills, strong organization, and time management skills.
• Demonstrated experience managing a team.
• Ability to recognize and communicate enhancement opportunities and develop creative, sound solutions within assigned duties.
• Excellent oral and written communication skills with all levels of management.
• Computer proficiency in Microsoft Outlook, Word, Excel, PowerPoint, Access, and Project.
• Experience communicating and interacting with regulatory agencies, including exam management and other regulatory affairs.
• Experience with a financial institution such as a broker/dealer and/or registered investment adviser.
• Experience working in a Compliance Investment Management role.

Nice To Haves

• Experience with the Charles River system is preferred.

Responsibilities

• Develop and lead the Trade Oversight Program, including configuring and overseeing the design, implementation, and administration of the firm's Order Management System / Portfolio Management System in Charles River Development.
• Interpret investment guidelines and regulatory requirements and translate them into system-based compliance rules and workflows.
• Configure, code, and validate compliance rules across the OMS platform and other applications used by the Portfolio Management team.
• Manage and train analysts responsible for investment guideline requirements.
• Implement and monitor real-time pre- and post-trade violations in collaboration with Investment Management and Trading teams.
• Conduct inquiries into violations, follow up through resolution, and review rule logic for alignment with guideline intent and expected functionality.
• Develop procedures in coordination with Investment Management, IT/Programmers, Operations, Legal, and Compliance.
• Partner with compliance officers, portfolio managers, and technology teams to refine rule logic.
• Review and interpret new account guidelines, code new accounts in Charles River, and maintain the compliance rules library.
• Design, test, and implement new rules.
• Mitigate risks including front-running, circular/wash trading, cross trading, insider trading, price manipulation, improper order handling, concentration limit violations, and securities journaling.
• Develop and implement quarterly, monthly, and daily reporting.
• Coordinate special projects among the Investment Analytics and Monitoring team, the business, and IT.

Benefits

• Comprehensive medical, dental, and vision coverage available the first of the month following start date.
• Generous 401(k) company matching contribution.
• Tuition reimbursement and other internal upskilling and training resources.
• Vacation, sick, and volunteer time.
• Fertility benefits and cancer, diabetes, and musculoskeletal support programs.
• Career mobility support from a dedicated recruitment team.
• Colleague Resource Groups for networking and community engagement.
• Eligible for bonus and/or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager