Risk Surveillance Analyst

Come Work with Us!

At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

Job Title

Risk Surveillance Analyst

Job Description

What is the opportunity?

The Surveillance Analyst ensures RBC Wealth Management (the firm) is meeting its supervisory and regulatory obligations relative to communications with the public and other financial advisor (FA) activities as set forth by firm policy, FINRA, and other regulators.

The Surveillance Analyst helps identify and mitigate risks to the firm 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.
  • Perform risk-based sampling of non-flagged e-communications.
  • Perform ad hoc data production from email archives in response to internal requests.
• Activity Surveillance
  • Processing monthly account review data for distribution to Supervisory Risk Managers
  • Review reports designed to capture potentially fraudulent activity in the firms client online portal..
• Perform quality control testing of the 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 trends.

What do you need to succeed?

Must-have

• BA, BS or equivalent
• Excellent written and verbal communication skills
• Strong Microsoft Office Suite skills
• Ability to work in a team environment and collaborate with others
• Maintains a high regard for the confidentiality of information learned from reports

Nice-to-have

• Desire to obtain Series 7 and Series 66 licenses
• Analytical, inquisitive, and creative
• Ability 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 opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities  
• Access to a variety of job opportunities across business

Job Summary

Address:

Minneapolis, Minnesota, United States of America

City:

USA-MN-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:

2023-06-08

Application Deadline:

2023-06-30

I****nclusion** 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.
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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.

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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 https://rbc.com/careers.