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Added 13 mins ago
A
Senior Manager, Technology Transformation
Amyantek
Toronto, ON
- Contract
DT SLT and Portfolio Directors across Agriculture, Manufacturing, Supply Chain, Finance, HR, Growth, Procurement, Data & Analytics, AI, Infrastructure & Operations, and Cybersecurity.
Added 28 mins ago
P
Product Engineer, Mobile & UX
Pontosense
Toronto, ON
- Full-time
…boundaries of what's possible with AI. You'll work directly with our Senior Product Manager and engineering team to bring that experience to…
Added 44 mins ago
P
Product Engineer, Mobile & UX
Pontosense
Toronto, ON
- Full-time
…boundaries of what's possible with AI. You'll work directly with our Senior Product Manager and engineering team to bring that experience to…
Added 44 mins ago
S
(Senior) Vice President (m/f/d), Index Management – Equity Rebalance | Toronto
Solactive
Toronto, ON
- Full-time
…maintenance, and a curiosity for trends in investing. If you thrive on data-driven analysis, client collaboration, while bringing energy and interest to shape the future of the team, you…
Added 1 hour ago
S
(Senior) Vice President (m/f/d), Index Management – Equity Rebalance | Toronto
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- Full-time
…maintenance, and a curiosity for trends in investing. If you thrive on data-driven analysis, client collaboration, while bringing energy and interest to shape the future of the team, you…
Added 1 hour ago
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Senior Oracle DBA
Mitchell Martin Inc.
Toronto, ON
- $48 to $58 USD / hour
- Other
Senior Oracle DBA - Toronto, ON - Contract - $48-58 Per HR
Added 1 hour ago
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Senior Financial Analyst - Corporate Accounting
Husky Technologies
Bolton, ON
- Full-time
Title: Senior Financial Analyst - Corporate Accounting
Added 1 hour ago
HT
Financial Manager - PLM (Product Line Mgmt)
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Bolton, ON
- Full-time
Translate complex data into clear, actionable recommendations for senior leadership
Added 1 hour ago
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Director, Finance (CSM)
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Bolton, ON
- Full-time
Serve as the senior finance partner to service leadership, operations, commercial teams, and Customer Success leaders, providing insight and challenge on strategic priorities, business…
Added 1 hour ago
Senior Android Infrastructure Software Developer
Google
Waterloo, ON
…distributed computing, large-scale system design, networking and data storage, security, artificial intelligence, natural language processing, UI design and mobile; the list goes on and is…
Added 2 hours ago
PL
Senior Full Stack .NET Developer
PEPOLTEK LIMITED
Laval, QC
- $115,000 CAD / year
- Full-time
We're looking for a senior software developer to join our internal team and play a key role in evolving our business-critical applications. This role is ideal for someone who enjoys working…
Added 2 hours ago
S
Explorer | Director | Market Research | Ontario
Savanta
Toronto, ON
- Full-time
…are met. Each day brings new challenges - from turning raw data into clear, actionable stories for reports and presentations, to distilling analytics into sharp insights that solve real…
Added 2 hours ago
BT
Controller
Baker Tilly Canada
Windsor, ON
- Full-time
…statements are complete, reliable, and variance reviewed prior to senior…
Added 2 hours ago
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Chief Advisor, Responsible AI
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Montreal, QC
- Full-time
Collaborate with business lines as well as data science, AI engineering, legal, compliance, cybersecurity, and risk management teams to support informed decision-making and the responsible…
Added 2 hours ago
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Account Director
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Toronto, ON
- Full-time
Data Analytics & Insights: Use analytics platforms, including Google Analytics, to track performance, build reporting models, and recommend data-backed optimizations.
Added 2 hours ago
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Oliver Wyman - Senior Lead AI Developer
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Toronto, ON · Montreal, QC
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…deliver unique and unprecedented products across industries. As a Senior Lead AI Developer, you are primarily responsible for managing technical projects and helping teams design and build…
Added 3 hours ago
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Director, Cash Management
RBC
Toronto, ON
- Full-time
Identify cash flow errors or potential value at risk to the Bank and manage to resolution or escalate to senior management with clear recommendations
Added 3 hours ago
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Senior Project Manager
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Calgary, AB · Greater Calgary Metropolitan Area
- Full-time
…and communication are important components of the position. Data retrieval, synthesis, and analysis are also key components. The PM appropriately applies change management and process…
Added 3 hours ago
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Analyst, Business
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- Full-time
IMAX is seeking a Business Analyst to bridge business functions, technology teams, data teams, project management, and senior leadership in defining and delivering technology-enabled…
Added 3 hours ago
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Senior Platform Automation Engineer
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Toronto, ON
- Full-time
Added 4 hours ago
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Senior AI and Agentic Developer
Accenture
Toronto, ON
- Full-time
As an Advanced AI, Large Language Model and Agentic AI Developer/Consultant, you will build production-grade AI applications that transform enterprise workflows. You will translate business…
Added 5 hours ago
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Senior Product Manager
Jobgether
Canada
- Full-time
As a Senior Product Manager, you will shape the future of data-driven product experiences within an innovative SaaS environment. You will own the data foundation, analytics and reporting…
Added 5 hours ago
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Forward Deployed AI Engineer - Senior Manager
Accenture
Calgary, AB · Vancouver, BC · Ottawa, ON · Toronto, ON
- Full-time
…serve as the technical bridge between product, engineering, data, and business stakeholders, ensuring solutions are technically sound, usable, and aligned with business…
Added 6 hours ago
UG
Senior Accountant (Permanent, Full-time) Vancouver
Union Gospel Mission (Vancouver)
Vancouver, BC
- Full-time
The Senior Accountant will work closely with the Controller, Finance and be responsible for full accounting cycle, period end closing, and preparation of financial statements for four legal…
Added 6 hours ago
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Manager Policy and Risk Management
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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.

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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