Job Summary

Job Description

What is the Opportunity?

Responsible for overseeing the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research) and the private side areas.

What will you do?

Perform oversight over controls relating to interaction with Research, including vetted calls process and chaperoning meetings between Investment Banking and Research

Escalate issues as they arise to management with recommended actions and participate in management forums across first and second lines

Monitor the Firm’s Watch and Restricted Lists and review the Firm’s Research prior to publication to ensure it adheres to FINRA and SEC rule requirements Assist with monitoring activities relating to Research which includes oversight over e-communication controls,

Provide oversight of the execution of key Regulatory Compliance Management Framework program elements:

the design, implementation and administration of global compliance policies, procedures and standards

the development and execution of a global monitoring program executed within the Control Room

providing input to Surveillance and CM Shared Services Compliance on Control Room related monitoring

2LoD oversight of regulatory change, issues management and compliance risk assessments

effective and consistent management information and reporting on emerging issues, regulatory developments and findings from surveillance, monitoring and testing to business “risk owners” and regional Chief Compliance Officers; includes regular quarterly reporting and input into the annual Global Control Room report

Advise Research, Investment Banking and various origination groups and provide training where necessary

What do you need to succeed?

2+ years of experience in financial services

Ability to work independently while also being able to work effectively in a team environment

Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through 9 PM PST as needed

Ability to work under short deadlines and make quick and reasoned decisions

Control Room experience

Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations

Undergraduate degree

Series 7, law degree preferred

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.

A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable

Leaders who support your development through coaching and managing opportunities

Ability to make a difference and lasting impact

Work in a dynamic, collaborative, progressive, and high-performing team

Opportunities to do challenging work

Opportunities to build close relationships with clients

The good-faith expected salary range for the above position is $80,000 - $135,000(New Jersey) 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 of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

Drives RBC’s high performance culture

Enables collective achievement of our strategic goals

Generates sustainable shareholder returns and above market shareholder value

#LI – Hybrid

#LI – POST

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

CNB, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-10-26

Application Deadline:

2024-12-31

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
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We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.