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Added 26 mins ago
MA
Bank Nurse (Stamford School)
MacIntyre Academies
ON · Ontario, Canada
- Full-time
…but everything we do is focused on preparing young people to lead happy and fulfilling lives in the 21st century. Stamford is a family-friendly, inclusive, happy school with a deep sense of…
Added 26 mins ago
N
Enterprise Marketing Campaign Manager - Montreal
Naboo
Montreal, QC
- Full-time
Account-based plays: as campaigns prove out, run 1:few and 1:1 programs on priority accounts, with messaging and content tailored to each account or cluster.
Added 41 mins ago
VC
Registered Nurse (RN) - Med/Surg - Subacute Respiratory
Vancouver Coastal Health
Vancouver, BC
- $41.42 to $55.91 CAD / hour
- Temporary
…taking smart risks, and "going first" when we believe it will lead to the best possible outcomes for patients and their families. We invite you to join us in creating healthy lives in…
Added 41 mins ago
RB
Director, Cash Management
Royal Bank of Canada
Toronto, ON
- Full-time
Lead the compilation of cash flow forecasts for funding and intraday collateral needs, demonstrating capabilities to forecast key intraday liquidity risk items for large time-sensitive…
Added 41 mins ago
RB
Senior Relationship Manager, Commercial Financial Services
Royal Bank of Canada
Montreal, QC
- Full-time
Apply your past sales experience for prospecting, and lead generation, to new and existing clients
Added 41 mins ago
RB
Branch Manager
Royal Bank of Canada
Medicine Hat, AB
- Full-time
Lead change and allocate resources to meet the needs of the community, growing sales, revenue, and market share
Added 41 mins ago
RB
Associate Director, Liquidity & Funding Product Owner
Royal Bank of Canada
Toronto, ON
- Full-time
Lead the vision, strategy, and development of liquidity/funding management products within the Funding, Liquidity & Payment Services portfolio.
Added 56 mins ago
N
Head of Enterprise Marketing - Canada
Naboo
Montreal, QC
- Full-time
Field and executive programs: lead and execute the enterprise event strategy that generates pipeline and relationships with the decision-makers on our target accounts.
Added 1 hour ago
W
(CAN) Front End Checkout Team Associate
Walmart
Whitehorse, YT
- Part-time
3.Promotes company sponsor programs, ie. Credit card service, product protection and charity initiatives.
Added 1 hour ago
MS
Merchandise Manager - Full Time - 3am Required - $21.25hr
Michaels Stores
Victoria, BC
- Full-time
Assist Store Manager in leading and managing adherence to Standard Operating Procedures (SOPs) and Company programs to ensure compliance with applicable laws and requirements.
Added 2 hours ago
AW
Program Director
Agilus Work Solutions
Toronto, ON
- $140 to $145 CAD / hour
- Contract
…initiatives? We are seeking an experienced Program Director / Program Lead to oversee a portfolio of strategic real estate transformation programs with significant executive visibility,…
Added 2 hours ago
RB
Assistant Branch Manager
Royal Bank of Canada
Pointe-Claire, QC
- Full-time
Strong understanding of sales management routines and ability to lead the team to action
Added 2 hours ago
RB
Manager, Royal Mutual Funds Inc (RMFI) Surveillance
Royal Bank of Canada
Toronto, ON
- Full-time
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…
Added 2 hours ago
RB
Team Operations Lead
Royal Bank of Canada
Vernon, BC
- Full-time
…join our leading wealth management firm as a Team Operations…
Added 2 hours ago
RB
Client Implementation Lead
Royal Bank of Canada
Vancouver, BC · Toronto, ON · Montreal, QC
- Full-time
The Client Implementation Lead (cash management) role is your opportunity to become a critical member of the Implementation team, where you’ll drive exceptional client experiences for…
Added 2 hours ago
RB
Senior Relationship Manager, Commercial Financial Services
Royal Bank of Canada
Ottawa, ON
- Full-time
Apply your past business development experience for prospecting, and lead generation, to new and existing clients
Added 2 hours ago
RB
Associate, Reporting & Control
Royal Bank of Canada
Toronto, ON
- Full-time
Lead or support process improvement initiatives, identifying opportunities to enhance efficiency, strengthen controls, and automate manual workflows.
Added 2 hours ago
RB
Senior Director, People Risk Governance, Policy and Practice Lead
Royal Bank of Canada
Toronto, ON
- Full-time
…Senior Director, People Risk Governance, Policy & Practice Lead will support the VP, People Risk Oversight & Governance in the strategy, development and execution of a centralized,…
Added 2 hours ago
VC
Program Assistant (Office Admin) - OSI Clinic Vancouver
Vancouver Coastal Health
Vancouver, BC
- $29.72 CAD / hour
- Other
…taking smart risks, and "going first" when we believe it will lead to the best possible outcomes for patients and their families. We invite you to join us in creating healthy lives in…
Added 2 hours ago
VC
Program Assistant (Office Admin) - OSI Clinic Vancouver
Vancouver Coastal Health
Vancouver, BC
- Full-time
…taking smart risks, and "going first" when we believe it will lead to the best possible outcomes for patients and their families. We invite you to join us in creating healthy lives in…
Added 2 hours ago
UO
Director, Office of Education
University of Alberta
Edmonton, AB
- Full-time
The College of Natural and Applied Sciences (CNAS) is hiring a Director, Office of Education to lead the academic administration services in the Office of Education. Reporting to the…
Added 3 hours ago
TS
Team Lead Warming Center– Direct Support Worker
The Salvation Army Canada and Bermuda Territory
Prince Albert, SK
- Part-time
The Team Lead provides operational direction and support to Direct Support Workers during their shift at the warming center. They provide supervision of residents and maintains the safety…
Added 3 hours ago
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Direct Support Worker – Warming Centre
The Salvation Army Canada and Bermuda Territory
Prince Albert, SK
- Full-time
Work with Team Lead to provide client information that helps develop case plans, communicate effectively with clients so that they are aware of the supports, resources and rules that are…
Added 3 hours ago
WC
(CAN) Leader des ressources humaines en magasin
Walmart Canada
MB · Saint-Laurent, MB
- Contract
Position Summary...The People Lead supports the Store Manager and leadership team by leading human resources functions that promote compliance, engagement, and operational excellence. This…
Added 3 hours ago
WC
(CAN) Gérant du service à la clientèle
Walmart Canada
Lachute, QC
- Full-time
…skills in a fast paced retail environment. In this role, you lead front end operations to deliver exceptional customer service, support a positive shopping experience, and drive customer…

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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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.

Apply About employer

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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