Manager, Royal Mutual Funds Inc (RMFI) Surveillance
Toronto, ONTemps plein
RBC Dominion Securities Inc.
4+ ansCandidates need 4-6 years of experience at a financial institution or regulated securities or mutual fund dealer, knowledge of CIRO and OSC rules, and understanding of suitability and sales practices. Strong analytical, critical thinking and written and verbal communication skills are required. CSC or CPH and retail trade surveillance experience are assets.
Regulatory compliance, Auditing, Sales, Record keeping, Statistics, Reporting