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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 the public and private sides of the firm. It involves maintaining Watch and Restricted lists, implementing restrictions, and reviewing research publications for compliance with regulatory requirements.

Responsibilities

• Review research notes and reports for approval against Watch/Restricted Lists.
• Update and monitor the Restricted List daily.
• Update and review the Watch List daily, including additions, deletions, and obtaining updates from Investment Banking.
• Provide real-time advice to Research and Sales & Trading regarding restrictions and permissible activities.
• Coordinate with Investment Banking on deal announcements and provide guidance on Watch and Restricted Lists.
• Conduct Information Barriers surveillance, monitoring, and testing.
• Perform Risk Assessments and RCM.

Requirements

• Bachelor's Degree.
• 10+ years of Control Room experience or 12+ years of broker-dealer compliance experience.
• Schedule flexibility for non-traditional hours and 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

• TWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCO
• San Francisco
• United States of America

Work Type

• Full time
• Salaried

Experience Level

• 10 or more years of Control Room experience
• 12 or more years experience in broker dealer compliance

Education Level

• Bachelor's Degree
• Juris Doctor (JD)

Salary/Compensations

• $160,000-$260,000
• Potential to earn more through RBC’s discretionary variable compensation program

Benefits

• Competitive compensation
• Flexible benefits
• 401(k) program with company-matching contributions
• Health, dental, vision, life, disability insurance
• Paid-time off
• Coaching and managing opportunities
• Opportunities to do challenging work
• Opportunities to build close relationships with clients

About the Company

• 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.
• At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC.
• 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.

Equal Opportunity

• RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.