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Posted: Tuesday, March 14, 2017 11:36 AM


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What is the opportunity?
As a Surveillance Analyst you would review activity in advisory, fee:based program versus policy and procedures, support the surveillance process and provide information on best practices. You would also act as a liaison for brokers with internal departments to resolve issues on fee:based programs.
What will you do?
Program Service and Support: approximate time 50
:Facilitate and monitor the surveillance process and provide guidance to financial advisors (FAs) appearing on reports, support FAs using fee:based programs by providing product expertise and guidance on advisory, fee:based program features, appropriate usage, pricing and tools.
:Develop relationships with external/internal partners that will enhance service and drive growth in program assets. You will assist with troubleshooting information flow between operations, sales, program management and other internal partners.
Ease of Doing Business: approximate time 25
:Actively contribute to the efforts surrounding ease of doing business to help ensure FA satisfaction with fee:based programs.
:Perform regular program maintenance or monitoring functions and ensure that existing tools, policies and procedures stay updated, working correctly and remain useful
Field Productivity and Training: approximate time 25
:Proactively organize and facilitate information flow to FAs regarding program changes, enhancements and best practices for fee:based programs.
What do you need to succeed?
Must:have
:Bachelor's degree in business or finance or equivalent experience with 3 : 5 years of securities or financial markets experience required with knowledge of fee:based business
:Strong understanding of fee:based platforms, financial advisor needs, and retail sales process as it relates to fee based programs
:Series 7, 63, 65 or 66 license or ability to get required licenses within 12 months
:Strong oral and written communication skills with the ability to influence colleagues and FAs across the organization
:Good problem solving skills, strong customer service orientations and enjoy working in a fast paced environment
Nice:to:have
:BA

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.
:Challenging work
:Variety of assignments
:Opportunity to make a difference
About RBC
Royal Bank of Canada is Canada's largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full: and part:time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, rbc.
Inclusion and Equal Opportunity Employment
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally:protected factors. Disability:related accommodations during the application process are available upon request.
JOB SUMMARY
City:
Denver
Address:
1801 California Street
Work Hours/Week:
40
Work Environment:
Office
Employment Type:
Regular : U

Source: https://www.tiptopjob.com/jobs/64850254_job.asp?source=backpage


• Location: Denver

• Post ID: 33641138 denver
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