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About the Role

Responsible for supporting the Supervisory Framework of US Global Markets to achieve best-in-class supervisory oversight processes and a robust control framework.

Responsibilities

• Develop business and product expertise with a focus on fixed income asset classes to build and strengthen relationships with sales and trading teams and Senior Management.
• Perform reviews of trading activity and other business activities as a delegate for the US Fixed Income Business Heads to identify potential policy violations, conflicts of interest, or regulatory concerns.
• Provide real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory laws, rules and procedures as well as all applicable Firm policies and procedures.
• Maintain Front Office desk procedures and Written Supervisory Procedures on behalf of Global Markets Desk and Business Heads.
• Provide senior leaders, as well as fixed income professionals within each asset class, appropriate levels of insight to ensure awareness of key risks and proper understanding of the rules, regulations and policies.
• Provide targeted training to front office sales and trading employees and Supervisors on general supervisory topics or specific regulatory rules, as needed.
• Identify opportunities to enhance supervision processes, tools, and controls, in partnership with key technology people and teams.
• Partner with Compliance Monitoring, Internal Audit, and Regulatory Inquiries teams to respond to regulatory requests for information and support internal testing functions in control testing, enabling assurance that controls are operating effectively and the early identification and remediation of control gaps.
• Stay apprised of regulatory rule changes, industry trends, and Firm policy changes.
• Lead special projects as required by senior management.
• Proactively identify operational risk and control deficiencies in the business and assist in developing solutions and risk mitigating controls.
• Escalate operational risk events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions promptly.

Requirements

• BA, MA or equivalent with an understanding of Capital Markets.
• 3 plus years of experience in a relevant financial services role.
• Series 7, 63, 24 – must obtain upon joining.
• Strong written and oral communication skills.
• Excellent organizational skills and ability to multi-task.
• Ability to work in a fast-paced environment and effectively prioritize.

Skills

• Adaptability
• Critical Thinking
• Detail-Oriented
• Investments Analysis
• Personal Development
• Personal Initiative
• Teamwork

Location

• New York

Work Type

• Full time

Experience Level

• 3 plus years

Education Level

• BA, MA or equivalent

Salary/Compensations

• $165,000

Benefits

• Bonuses
• Flexible benefits
• Competitive compensation
• Commissions
• Stock where applicable
• 401(k) program with company-matching contributions
• Health, dental, vision, life and disability insurance
• Paid time-off plan

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.
• 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, and generates sustainable shareholder returns and above market shareholder value.
• 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

• 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.