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The tools and support needed to be successful in your career and professional development

RBC

Manager, Royal Mutual Funds Inc (RMFI) Surveillance

Toronto, ON, Canada

Full-time

Apply About employer

Applications open in a new tab.

Job details

Job type: Full-time
Apply by: Dec 4, 2026
Experience: 4-6 years of related work experience at a financial institution and/or regulated securities/mutual fund dealer/and or securities regulatory body
Posting language: English
Posted: Nov 3, 2026

Original job description

Job Description

What is the opportunity?

You will be part of the RBC Compliance Surveillance Team, which is a core, global, second-line-of-defense function within Compliance that works closely with the first-line and the third-line (Internal Audit) and other second-line functions as part of an integrated controls framework. It performs routine (mostly automated), post-event monitoring of trading activity and communications (electronic and voice) for controlling and mitigating specific relevant risks (e.g. market abuse and manipulation, suitability & sales practices) associated with the supported Capital Markets, Wealth Management businesses, Royal Mutual Funds Inc. (RMFI) and Global Asset Management.

As Manager, RMFI Trade Surveillance, you will act as a senior member in the team to lead the daily and periodic reviews of sales and trading activities in Canada to detect potential suitability and sales practices concerns focusing on mutual funds activities. You will participate in and contribute to team projects (alert parameter changes, working with Compliance IT), and keep detailed record keeping and compile surveillance statistics for periodic reporting.

What will you do?

Conduct routine review of trades in retail RMFI accounts to ensure compliance with company policies and application regulations (e.g. CIRO)
Assist team members in handling complex trade surveillance alerts and ad-hoc investigations
Support the Associate Director in managing daily alerts escalation and resolution timeline
Conduct targeted reviews in response to inquiries from internal stakeholders or external regulators. Interpret and investigate substantive findings for context and potential impact
Assess surveillance efficiency and provide ongoing reporting to management
Maintain surveillance monitoring groups and provide metrics for reporting to management
Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues.
Provide support for audit-related matters and policy/procedure manual upkeep
Conduct IT testing for surveillance system/ tool enhancements

What do you need to succeed?

Must have:

4-6 years of related work experience at a financial institution and/or regulated securities/mutual fund dealer/and or securities regulatory body
Knowledge of mutual fund/securities rules and regulations (e.g. CIRO, OSC)
Business knowledge about mutual fund distribution business activities or other retail investment business activities
Bachelor's degree or equivalent
Good understanding of suitability and sales practices, regulatory rules and requirements
Critical thinking, excellent analytical and problem-solving skills
Strong written and verbal communication skills

Nice-to-have:

CSC, CPH
Prior experience in retail trade surveillance or retail investment compliance undefined

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
A world-class training program in financial services
Flexible work/life balance options
Opportunities to do challenging work
Opportunities to take on progressively greater accountabilities

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-11-03

Application Deadline:

2026-12-04

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

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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 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.

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More about this job

Responsibilities

Lead daily and periodic reviews of Canadian mutual fund sales and trading activity to identify suitability and sales-practice concerns, investigate alerts, and support escalations and targeted reviews. Maintain surveillance records and metrics, contribute to system and process improvements, support audits and policy updates, and conduct testing for surveillance tool enhancements.

Requirements

Candidates must have 4–6 years of relevant experience at a financial institution, regulated dealer, or securities regulator, a bachelor's degree or equivalent, and knowledge of mutual fund and securities regulations such as CIRO and OSC rules. They should understand mutual fund distribution or retail investment activities, suitability and sales practices, and demonstrate strong analytical, problem-solving, and communication skills; CSC or CPH and retail surveillance experience are preferred.

Skills

Trade Surveillance
Mutual Fund Compliance
Securities Regulations
Suitability
Sales Practices
Critical Thinking
Analytical Skills
Problem-Solving
Written Communication
Verbal Communication
Risk Management
Data Analysis
Decision-Making
Audit Support
Regulatory Reporting
Stakeholder Management

Benefits

Bonuses
Flexible Benefits
Competitive Compensation
Commissions
Stock Options
Coaching and Development Opportunities
Training
Work-Life Balance Options

Visa sponsorship

Not detected in the job text

Keywords

Royal Mutual Funds Inc.
RMFI
Trade Surveillance
Compliance
Mutual Funds
Securities
CIRO
OSC
Suitability
Sales Practices
Retail Trading
Alert Investigation
Surveillance Monitoring
Risk Management
Regulatory Reporting
Compliance IT
Surveillance Systems
Audit Support
Policy and Procedure Manuals
CSC
CPH
Capital Markets
Wealth Management
Global Asset Management
Market Abuse
Market Manipulation

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