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.
- 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.
- 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
- 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
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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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
People Manager: No
Job Posting End Date: 12/16/2015
Req ID: 93507
Posting Notes: SF:EFC; SF:JB; SF:LinkedIn Campus