Job Summary
Job Description
What is the opportunity?
An opportunity to work in the EMEA APAC Equity Trade Surveillance team, providing Market Abuse and Market Conduct Surveillance to Capital Markets (CM), Global Asset Management (GAM) and Wealth Management (WM), whilst learning from Subject Matter Experts in both Surveillance and the Equity Asset Classes.
The role will support the delivery of core elements of the Compliance Management Plan, as it relates to Monitoring and Surveillance, on a timely and consistent basis and in accordance with this mandate and agreed goals/objectives and support the development of a strong and consistent Compliance culture across all areas of the CM, WM, and GAM operations in Europe and APAC.
What will you do?
* Undertake day-to-day Trade Surveillance to identity and investigate instances of potential Market Abuse or Market Conduct issues.
* Escalate and document potential issues and support further investigation.
* Draft Case Files Notes and STORS for submission to the relevant regulator, such as the FCA.
* Assist in the design and testing of bespoke Surveillance models to mitigate risks identified as part of the annual Market Abuse Risk Assessment.
* Assist in the annual update to the Market Abuse Risk Assessment for both EMEA and APAC.
What do you need to succeed?
Must-have
* An officer with a broad knowledge of the UK regulatory framework including an understanding of the FCA Conduct of Business, EU Market Abuse Regulation and global Market Abuse framework.
* Experience of Trade Surveillance, other Compliance disciplines or a strong numerical degree.
* Ability and willingness to accept accountability, demonstrate initiative and support effective cross-unit cooperation, information sharing etc.
Nice-to-have
* Python or similar coding skills
* Solid experience in Market Abuse Surveillance
* Mathematical and problem-solving ability
* Ideally educated to at least first-degree level
What is 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, flexible benefits and competitive compensation
* Leaders who support your development through coaching and managing opportunities
* Opportunities to work with the best in the field
* Ability to make a difference and lasting impact
* Work in a dynamic, collaborative, progressive, and high-performing team
* A world-class training program in financial services
* Flexible working options fully supported.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Python (Programming Language), Risk Management, Strategic Thinking
Additional Job Details
Address:
32 GALLOWGATE:NEWCASTLE UPON TYNE
City:
Newcastle upon Tyne
Country:
United Kingdom
Work hours/week:
35
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Contract (Fixed Term)
Pay Type:
Posted Date:
2024-11-27
Application Deadline:
2024-12-09
Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion 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.
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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