U.S. Trade Surveillance Analyst
RBC, Minneapolis, MN, United States
US Trade Surveillance Analyst
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 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: 2026-03-31 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.
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 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: 2026-03-31 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.