Trade Surveillance Analyst
About The Position
The Trade Surveillance Analyst will perform second-line surveillance oversight of firm and client trading activity across RBC Business Segments, identifying potential market abuse and manipulation through systematic monitoring and alert investigation across different asset classes including Fixed Income, Futures, Swaps and Equities. Leverage advanced surveillance technology to investigate and resolve alerts, combining vendor platforms with proprietary internal systems to analyze complex trading patterns and data volumes while maintaining audit trails and documentation standards. Bridge compliance and business stakeholders by translating surveillance findings into clear, actionable insights for compliance teams, traders, and supervisors that require strong analytical rigor, data interpretation skills, and the ability to communicate nuanced risk assessments to both technical and non-technical audiences.
Requirements
- Minimum of 2-5 years of experience in the brokerage industry, providing familiarity with securities industry regulatory environment, practices and operations.
- In-depth knowledge of the rules and regulations governing the securities industry.
- Strong analytical and investigative skills.
- Solid verbal and written communication skills.
- Effective organizational skills, including the ability to prioritize between multiple priorities and deadlines.
Nice To Haves
- Trade Surveillance experience.
- Familiarity with industry-standard surveillance systems (i.e. SMARTS, KX)
- Strong understanding of various products offered at RBC.
Responsibilities
- Execute surveillance across the trade lifecycle by monitoring trading data from multiple front-end systems, vendor platforms, and internal sources to identify suspicious activity and unusual patterns, escalating findings promptly to compliance and legal teams.
- Calibrate surveillance models through rigorous testing of thresholds, parameters, and functionality to ensure risks are appropriately captured while minimizing false positives balancing alert precision with comprehensive coverage.
- Optimize surveillance scenarios by evaluating existing methodologies, partnering with IT and Advisory teams to enhance operational efficiency, and identifying opportunities to strengthen detection capabilities across the surveillance platform.
- Maintain market and regulatory expertise by staying current on regulatory developments, surveillance industry trends, and technology innovations to ensure RBC's surveillance program remains effective with evolving standards.
- Drive surveillance initiatives from conception through implementation, managing multiple concurrent projects while meeting deadlines and maintaining documentation standards.
Benefits
- bonuses
- flexible benefits
- competitive compensation
- 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.
- 401(k) program with company-matching contributions
- health, dental, vision, life and disability insurance
- paid time-off plan
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
