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
Collaborate with regional Compliance and Law Group colleagues/counterparts to implement global policies and procedures in relation to Research Independence and information barriers
What do you need to succeed?
Minimum 5 years relevant work experience
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
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 ThinkingAdditional Job Details
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Inclusion and Equal Opportunity Employment
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