RBC Capital Markets, LLC
Risk Surveillance Analyst
RBC Capital Markets, LLC, Minneapolis, Minnesota, United States, 55400
Job SummaryJob DescriptionWhat is the opportunity?The Surveillance Analyst (SA) ensures RBC Wealth Management is meeting its supervisory and regulatory obligations relative to communications with the public and other employee activities as set forth by regulatory requirements and Firm policies.The Surveillance Analyst (SA) helps identify and mitigate risks by:performing initial reviews, screening, and investigation of e-communications (including, but not limited to email, texts, and documents) that are sent to and received by PCG employees subject to the Firm's e-communications surveillance system.using existing reports, and providing input on the development of new reports, to surveil potentially fraudulent online activities, trading and investment activities, and data loss prevention.What will you do?E-Communications Surveillance
Conduct daily review of flagged electronic communications to ensure company policies and applicable regulations are met.Contribute to assessing the efficacy of keywords and phrases.Perform ad hoc data production from email archives in response to internal requests.Perform risk-based sampling of non-flagged e-communications.
Activity Surveillance
Process monthly account review data for distribution to Supervisory Risk ManagersDevelop a basic knowledge of the trade supervision system and participate in testing under the guidance of management.Review reports designed to capture potentially fraudulent activity conducted throughout RBC.
Perform quality control testing of tools and reports for purposes of identifying gaps and malfunctions.Interpret and investigate substantive findings for context and potential impact under the direction of management.Escalate matters of concern to the appropriate supervisory personnel and work with management to resolve issues.Track metrics and design management reports that evidence trendsWhat do you need to succeed?Must-haveBachelor's degree3+ years of financial services industry experienceExcellent written and verbal communication skillsStrong Microsoft Office Suite skillsAbility to work in a team environment and collaborate with others.Maintains a high regard for the confidentiality of information learned from reports.Nice-to-haveDesire to obtain Series 7 and Series 66 licenses.Analytical, inquisitive, and creativeAbility to adapt to a changing, fast paced work environment.Takes initiative to drive to clear outcomes.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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable.Leaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impact.Work in a dynamic, collaborative, progressive, and high-performing teamFlexible work/life balance optionsOpportunities to do challenging work.Opportunities to take on progressively greater accountabilities.Access to a variety of job opportunities across businessJob SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job DetailsAddress:250 NICOLLET MALL:MINNEAPOLIS
City:Minneapolis
Country:United States of America
Work hours/week:40
Employment Type:Full time
Platform:WEALTH MANAGEMENT
Job Type:Regular
Pay Type:Salaried
Posted Date:2024-09-04
Application Deadline:I
nclusion
and Equal Opportunity EmploymentAt 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 jobs.rbc.com.
Conduct daily review of flagged electronic communications to ensure company policies and applicable regulations are met.Contribute to assessing the efficacy of keywords and phrases.Perform ad hoc data production from email archives in response to internal requests.Perform risk-based sampling of non-flagged e-communications.
Activity Surveillance
Process monthly account review data for distribution to Supervisory Risk ManagersDevelop a basic knowledge of the trade supervision system and participate in testing under the guidance of management.Review reports designed to capture potentially fraudulent activity conducted throughout RBC.
Perform quality control testing of tools and reports for purposes of identifying gaps and malfunctions.Interpret and investigate substantive findings for context and potential impact under the direction of management.Escalate matters of concern to the appropriate supervisory personnel and work with management to resolve issues.Track metrics and design management reports that evidence trendsWhat do you need to succeed?Must-haveBachelor's degree3+ years of financial services industry experienceExcellent written and verbal communication skillsStrong Microsoft Office Suite skillsAbility to work in a team environment and collaborate with others.Maintains a high regard for the confidentiality of information learned from reports.Nice-to-haveDesire to obtain Series 7 and Series 66 licenses.Analytical, inquisitive, and creativeAbility to adapt to a changing, fast paced work environment.Takes initiative to drive to clear outcomes.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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable.Leaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impact.Work in a dynamic, collaborative, progressive, and high-performing teamFlexible work/life balance optionsOpportunities to do challenging work.Opportunities to take on progressively greater accountabilities.Access to a variety of job opportunities across businessJob SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job DetailsAddress:250 NICOLLET MALL:MINNEAPOLIS
City:Minneapolis
Country:United States of America
Work hours/week:40
Employment Type:Full time
Platform:WEALTH MANAGEMENT
Job Type:Regular
Pay Type:Salaried
Posted Date:2024-09-04
Application Deadline:I
nclusion
and Equal Opportunity EmploymentAt 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 jobs.rbc.com.