AddressRBC Brewin Dolphin is one of the UK's leading independent providers of discretionary wealth management. We offer award-winning personalised wealth management services that meet the varied needs of over 100,000 account holders, including individuals, charities, and pension funds.
We specialise in helping clients protect and grow their wealth by creating financial plans and investment portfolios that meet personal and professional ambitions and aspirations. Our services range from a simple execution only online service to bespoke discretionary investment management including retirement planning.
About this opportunity:
The EMEA & APAC Trade Surveillance team provides Market Abuse and Market Conduct Surveillance to Wealth Management (WM), Capital Markets (CM), and Global Asset Management (GAM) across RBC.
We have an excellent opportunity for a recent graduate to join the team on a permanent basis. The ideal candidate will have a genuine interest in Surveillance and the Wealth Management sector overall, with the desire to build a long and successful career with RBC Brewin Dolphin.
Primarily focussed on RBC Brewin Dolphin Wealth Management Surveillance through integration there will be the opportunity to learn from Subject Matter Experts in both Surveillance. Developing a broad knowledge of the UK regulatory framework including an understanding of the FCA Conduct of Business, EU Market Abuse Regulation and global Market Abuse framework.
Responsibilities Include:
- Day-to-day Trade Surveillance to identity and investigate instances of potential Market Abuse or Market Conduct issues escalating and documenting potential issues to support further investigation.
- Draft Case Files Notes and STORS for submission to the relevant regulator, such as the FCA.
- Assist in the design and testing of bespoke Surveillance models to mitigate risks identified as part of the annual Market Abuse Risk Assessment.
- Supporting a strong and consistent Compliance culture across all areas of the WM, CM and GAM operations in Europe and APAC.
Skills/Experience:
- Self-starter with thirst for knowledge and passion for continuous improvement.
- Communicates professionally with stakeholders, building positive relationships.
- Excellent administration, planning and organisation skills.
- Flexible team player with aptitude for accuracy and excellent attention to detail.
- Displays enthusiasm, credibility and determination.
- Ability to grasp new ideas and concepts quickly and use them effectively.
- Ability to work under pressure and meet deadlines.
- Ability and willingness to accept accountability, demonstrate initiative and support effective cross-unit cooperation, information sharing etc.
Qualifications/technical expertise:
- Preferably educated to degree level
- Strong Excel skills and working knowledge of Microsoft Office Products.
- Mathematical and problem-solving ability preferred.
RBC Brewin Dolphin is proud to be an equal opportunity employer. We are committed to recruiting and developing a diverse workforce, inclusive of race, religion, age, gender, sexual orientation and disability. If you have particular requirements in relation to accessibility or mobility during the recruitment process, please let us know and we will do our best to make suitable adjustments.
Closing date
To apply for this role, please click the "Apply" button below. The closing date for applications is 15/3/2024. Some of our vacancies receive high numbers of applications and we may decide to close this sooner, so we would encourage you to apply as early as possible.
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