Manager, Royal Mutual Funds Inc (RMFI) Surveillance
Core
Lead daily and periodic reviews of sales and trading activities in Canada to detect potential suitability and sales practices concerns focusing on mutual funds activities.
Role type
Manager, Trade Surveillance
Builds
Compliance monitoring and risk mitigation for Royal Mutual Funds Inc. (RMFI) and Global Asset Management
Domain
Financial Services / Capital Markets / Wealth Management
Deliverable
dashboards & analysis
Required skills
Trade surveillance, Suitability & sales practices, Mutual fund regulations (CIRO, OSC), Regulatory investigations, Alert management, Reporting & metrics, System testing
Preferred skills
CSC, CPH, Retail trade surveillance experience
Technologies
Surveillance systems/tools
Responsibilities
Conduct routine review of trades in retail RMFI accounts, Handle complex trade surveillance alerts and ad-hoc investigations, Manage daily alerts escalation and resolution timeline, Conduct targeted reviews in response to inquiries from internal stakeholders or external regulators, Assess surveillance efficiency and provide ongoing reporting to management, Maintain surveillance monitoring groups and provide metrics, Conduct special projects including escalation and resolution of potential gaps, Provide support for audit-related matters and policy/procedure manual upkeep, Conduct IT testing for surveillance system/tool enhancements
Seniority
Manager, hands-on IC with team leadership