Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY
Description
This role involves providing compliance guidance, support, and oversight to various Capital Markets Macro business lines, including Rates, Futures, Commodities, and FX, as well as equity products and the U.S. Capital Markets Gifts and Entertainment (G&E) Program. Key responsibilities include developing and delivering training, maintaining policies and procedures, assisting with audits and exams, reviewing new products for compliance risks, promoting adherence to political contribution regulations, guiding employees on disclosure requirements, coordinating MSRB G-37 filings, and monitoring G&E for government/foreign officials.
What We're Looking For
Bachelor's degree in Business, Business Administration, Finance, or a related field.,4 years of related work experience.,3 years of experience in: Both U.S. and Canadian capital markets regulatory requirements (OSC National Instruments, CFTC Regulations, and SEC Regulations), Compliance risk assessments, Execution of cross-asset strategic compliance initiatives, Presentation of key risk indicators and other trend analysis to senior management, Implementing compliance monitoring programs (design, documentation, and escalation of findings), Developing notices to communicate markets regulatory compliance requirements and changes, Development of cross-asset training plans and delivery of markets regulatory compliance training.,1 year of experience in: An advisory or compliance role supporting a capital markets sales and trading business, A compliance role supporting global policy development or an equivalent core compliance program, Implementation of the FX and Precious Metals Code, 15a-6 regulatory requirements and processes, Equities markets and equities regulation.
Ideal Candidate
Bachelor's degree in Business, Business Administration, Finance or a related field.,4 years of related work experience.,Demonstrated experience in both U.S. and Canadian capital markets regulatory requirements, compliance risk assessments, strategic compliance initiatives, presenting risk indicators, implementing compliance monitoring programs, developing regulatory notices, and delivering compliance training.,Demonstrated experience in an advisory/compliance role supporting capital markets sales/trading, global policy development, implementation of the FX and Precious Metals Code, 15a-6 regulatory requirements, and equities markets/regulation.
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
40 hours/week, Monday – Friday
Benefits
Special Commitments
Telecommuting permitted up to 1 day per week. Requires knowledge of both U.S. and Canadian capital markets regulatory requirements.
About the Company
Royal Bank of Canada
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. As Canada's largest bank, it provides personal and commercial banking, wealth management, and capital markets services to over 17 million clients worldwide.
We respect your privacy
BerryMap uses cookies to provide essential features, analyze usage, and improve your experience. You can customize your preferences below.