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Experience:
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Employment Type:
Intern/Co-op
Posted:
7/14/2015
Job Category:
Administration
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Compliance Officer
RBC | Jersey City, New Jersey
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Job Description

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PURPOSE

The RBC Capital Markets, LLC's (the "Firm") Equity Compliance team provides advisory compliance services to the Firm's Global Equity (Including Global Equity Linked Products Group) and Central Funding compliance business lines.  In addition, members of the advisory team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory, trade and transaction reporting, and business-driven initiatives.

 

 

PRIMARY RESPONSIBILITIES

  • Work with Operations and front-office personnel on the build out and ongoing maintenance of a Target Operating Model for order and transaction-based regulatory reports; advise on the requirements of reporting systems including, but not limited to, ACT/ORF, LOPR, TRACE, Bluesheets, OATS, OCEND, and Short Interest reporting.
  • Collaborate with CM Compliance regional peers to achieve, whenever possible and appropriate, a system of common, consistent and/or global controls (e.g., policies and procedures), tools, methodologies, and requisite solutions (e.g., surveillance) to address common or similar compliance needs of the global CM businesses.
  • Proactively identify issues impacting RBC through participation in business, industry and regulatory initiatives.
  • Support the Firm's compliance program by developing policies and procedures for new and on-going business initiatives, drafting guidance and training materials, driving IT-related initiatives, and assisting with investigations and special projects.
  • Assist in the Firm's Market-Access compliance program, including participation in the Market Access Committee, annual certification process, and maintenance of limit structure.

 

 

 

JOB SPECIFICATIONS

  • Minimum 3-6 years of capital markets experience
  • Knowledge of equity order and transaction-based regulatory reports including ACT/ORF, LOPR, Bluesheets, OATS, OCEND, and Short Interest reporting
  • Exceptional interpersonal skills and superior judgment
  • Strong oral and written communication skills
  • Strategic thinking
  • Solution orientation
  • Ability to accept accountability, assume pro-active leadership, demonstrate initiative, and lead by example in teamwork, cross-unit co-operation, and information sharing environments
  • Business orientation, ability to understand needs of users and to address conflicts, and competing priorities, as necessary
  • Partnership mentality with respect to rest of RBC enterprise, including other functions
  • Adaptable to a dynamic work environment with multiple priorities and strict timelines
  • Organize workload and prioritize for responsiveness and efficiency both individually and for the team
  • Collaborate and manage medium to large projects across various teams
  • Work independently and adapt to changing and competing priorities
  • Strong written and oral communication skills

 

REQUIRED

  • BA/BS, MA, or MS or equivalent.
  • Experience in compliance, consulting, operational risk, IT systems security, business process management, or financial services. 
  • Series 7 & 63 licensed 

 

*LI-AT1

 

Diversity and Equal Opportunity Employment:
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.

 

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JOB SUMMARY
City:  Jersey City 
Address:  200 Vessey Street 
Work Hours/Week:  40+ 
Work Environment:  Regional Office 
Employment Type:  Regular - U.S. 
Career Level:  Experienced Hire/Professional 
Pay Type:  Salary + Variable Bonus 
Required Travel:  0 
Exempt/Non-Exempt:  Exempt 
People Manager:  No 
Job Posting End Date:  12/16/2015 
Req ID:  93507

Posting Notes:  SF:EFC; SF:JB; SF:LinkedIn Campus

 

 

About RBC

Regal Beloit Corporation is a global manufacturer of commercial and industrial electric motors, heating, ventilation and air conditioning (HVAC) electric motors, electric generators and controls, and mechanical motion control products. It sells its products to a diverse global customer base using more than 20 brand names through a multi-channel distribution model to original equipment manufacturers (OEMs), distributors and end users across many markets. It manufactures and markets electrical and mechanical products. Its electrical products include HVAC motors, a line of alternating current (AC) and direct current (DC) commercial and industrial electric motors, electric generators and controls, capacitors and electrical connecting devices. Its mechanical products include gears and gearboxes, marine transmissions, high- performance automotive transmissions and ring and pinions and manual valve actuators. In November 2007, the Company acquired Alstom's motors and fans business in India.

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