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About the Role
This role is responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between public and private areas of the firm. It will maintain the firm's Watch and Restricted lists, implement restrictions, and review publications for adherence to regulatory requirements.
Responsibilities
- Review research notes and reports for approval against Watch/Restricted Lists.
- Daily updating and monitoring of the Restricted List.
- Daily updating and review of the Watch List, including additions, deletions, and obtaining updates from Investment Banking.
- Advise Research and Sales & Trading on restrictions and permissible activities.
- Coordinate with Investment Banking regarding deal announcements and provide guidance on Watch and Restricted Lists.
- Perform Information Barriers Surveillance, Monitoring, and Testing.
- Conduct Risk Assessments and RCM.
Requirements
- Must have a Bachelor's Degree.
- 10 or more years of Control Room experience, or 12 or more years of experience in broker dealer compliance.
- Non-traditional hours may be required, with schedule flexibility for weekend coverage as needed.
- Ability to work under short deadlines and make quick, reasoned decisions.
- Subject matter expertise in FINRA Rule 2241, Regulation M, and other relevant rules and regulations.
Skills
- Audits
- Compliance
- Critical Thinking
- Data Gathering Analysis
- Decision Making
- Financial Regulation
- Industry Knowledge
- Interpersonal Relationship Management
- Product Services
- Risk Management
- Strategic Thinking
Location
- San Francisco, United States of America
Work Type
- Full time
- Salaried
Experience Level
- 10+ years
Education Level
- Bachelor's Degree
- Juris Doctor (JD) - Nice to Have
Salary/Compensations
- $160,000-$260,000
Benefits
- Competitive compensation
- Flexible benefits
- 401(k) program with company-matching contributions
- Health, dental, vision, life, and disability insurance
- Paid-time off
- Coaching and managing opportunities
- Discretionary variable compensation program
About the Company
- RBC is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance.
- Success is driven by 84,000+ employees who bring the vision, values, and strategy to life.
- As Canada’s biggest bank and one of the largest globally by market capitalization, RBC has a diversified business model focused on innovation and exceptional client experiences.
- RBC supports a broad range of community initiatives through donations, investments, and employee volunteer activities.
- RBC is guided by shared values of Client First, Integrity, Collaboration, Respect, and Excellence.
- RBC believes an inclusive workplace with diverse perspectives is core to its growth.
- RBC fosters a workplace where employees feel supported to perform at their best, collaborate effectively, drive innovation, and grow professionally.
- RBC strives to create a workplace based on respect, belonging, and opportunity for all.
Equal Opportunity
- We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world.
- Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities.
- RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.