U.S. Trade Surveillance Analyst

Job Description What is the opportunity? This US Trade Surveillance Analyst will perform second line of defense trade monitoring for firm and client trading activity to detect potential market abuse/manipulation practices for RBC Capital Markets. It will utilize vendor surveillance tools and internal systems to research alerts generated across different asset classes with an emphasis in Wealth management customer activity. What will you do? Review trading data emanating from multiple front-end trading systems, technology and third-party vendor systems and inform relevant compliance and legal folks of any suspicious activity or patterns of unusual trading. Explore surveillance methodologies used by the Trade Surveillance team and partner with relevant stakeholders to maximize the efficiency of existing reviews and identify potential new or enhanced controls. Evaluate ongoing calibrations with Surveillance members to determine the optimal mix of tuning and configuration to mitigate as much risk as possible while minimizing false positives (alert efficiency). Continue developing in-depth knowledge of financial markets and stay informed of regulatory changes and maintain subject matter expertise on surveillance industry trends and technology development Handle multiple projects, perform surveillance and deliver tasks in a timely manner. Provide support to targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact. What do you need to succeed? Must-have 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 Wealth Management advisory markets. Strong analytical and investigative skills Solid verbal and written communication skills Nice-to-have Capital Markets Trade Surveillance Experience Effective organizational skills, including the ability to prioritize between multiple priorities and deadlines. Ability to effectively analyze risk to the organization of potential issues discovered Ability to work independently and in a team setting Strong understanding of various products offered at RBCWM Individual with previous trade surveillance, compliance or trading experience at a broker-dealer 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 The good-faith expected salary range for the above position is $55,000-$95,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements that comprise our total compensation package, which includes the following: commission sharing eligibility for select roles, a discretionary bonus, a paid time-off plan, our 401(k) program with company-matching contributions, and our health, dental, vision, life and disability insurance. RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: · Drives RBC’s high performance culture · Enables collective achievement of our strategic goals · Generates sustainable shareholder returns and above market shareholder value Job Skills Business, Business Practices, Critical Thinking, Data Gathering Analysis, Decision Making, Exploration, Financial Markets, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking, Surveillance, Trade Surveillance, Trading Systems Additional Job Details Address: 250 NICOLLET MALL:MINNEAPOLIS City: Minneapolis Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2025-12-02 Application Deadline: 2026-01-30 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 believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all. 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. RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail. Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 84,000 employees who bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada’s biggest bank, and one of the largest in the world based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to more than 16 million clients in Canada, the U.S. and 34 other countries. Learn more at rbc.com.‎ We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at rbc.com/community-social-impact.

Salary : $55,000 - $95,000