U.S. Trade Surveillance Analyst

Job Description

This US Trade Surveillance Analyst will perform second line of defense trade monitoring for RBC Capital Markets. The role utilizes vendor surveillance tools and internal systems to research alerts generated across different asset classes with an emphasis on Wealth Management customer activity.

We are seeking a detail oriented professional to help detect potential market abuse/manipulation practices for firm and client trading activity.

• Review trading data from multiple front‑end trading systems, technology, and third‑party vendor systems, informing compliance and legal folks of suspicious activity or patterns of unusual trading.
• Explore surveillance methodologies used by the Trade Surveillance team and partner with stakeholders to maximize 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 risk 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.

• 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 experience.
• Strong analytical and investigative skills.
• Solid verbal and written communication skills.

• Capital Markets Trade Surveillance Experience.
• Effective organizational skills, ability to prioritize between multiple priorities and deadlines.
• Ability to 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.
• Previous trade surveillance, compliance or trading experience at a broker‑dealer.

• Comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable.
• Leaders who support your development through coaching and management opportunities.
• Opportunity to make a lasting impact and work in a dynamic, collaborative, progressive, and high‑performing team.
• Flexible work/life balance options.
• Opportunities to take on progressively greater accountabilities and job opportunities across the business.

Salary Range:
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 commission sharing eligibility for select roles, discretionary bonus, paid time‑off plan, 401(k) program with company matching contributions, and health, dental, vision, life and disability insurance.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and play a critical role in attracting, engaging and retaining talent that drives RBC’s high performance culture, enables collective achievement of our strategic goals, and generates sustainable shareholder returns and above market value.

Address: 250 NICOLLET MALL, MINNEAPOLIS, Minn. United States of America

Work Hours:

40 hours per week

Employment Type:

Full time, Regular, Salaried

Posting Date: 2025‑12‑02

Final date to receive applications: 2025‑12‑31

At RBC, we believe in an inclusive workplace that values diverse perspectives. RBC strives to foster a respectful workplace based on belonging and opportunity for all employees.

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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