RBC Capital Markets, LLC
Associate Director - US Control Room
RBC Capital Markets, LLC, Jersey City, New Jersey, United States, 07390
Job SummaryJob DescriptionAssociate Director, US Control Room, RBC Capital Markets, LLC, Jersey City, NJ:Maintain information barriers to restrict the improper flow of information and prevent the misuse of material non-public information by the public and private side areas of the firm. Maintain Watch and Restricted lists by implementing restrictions pursuant to securities laws and policies and procedures. Review research prior to publication to ensure it adheres to FINRA and SEC rule requirements. Review research notes and reports submitted to the Control Room by Supervisory Analysts against the Watch and Restricted lists. Update and monitor Watch and Restricted List. Perform pre-clearance of employee trades. Coordinate with investment banking regarding deal announcements and advise on questions regarding the Watch and Restricted lists. Provide real-time support to various cross functional teams. Advise Research and Sales & Trading teams of restrictions and corresponding permissible activities.Telecommuting: Permitted up to 2 days per work week.Full time employment, Monday - Friday, 40 hours per week, $149,450.00 per year.MINIMUM REQUIREMENTS:Bachelor's degree or foreign equivalent in legal studies, criminology, or a related field and 2 years of work experience.Must have 2 years experience in:Global Control Room;MyCompliance Office;GIB Conflicts Portal;Stealth Audit;CCMS;GSAS;Sharepoint;Discovery Accelerator;Employee Trading including investigation/enforcement, policy review and advisory;Monitoring and testing, demonstrating the ability to interpret internal policies and procedures.Travel: Domestic and International Travel up to 5%.TO APPLY: Please click "Apply Now" ButtonJob SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic ThinkingAdditional Job DetailsAddress:
GOLDMAN SACHS TOWER, 30 HUDSON STREET: JERSEY CITYCity:
Jersey CityCountry:
United States of AmericaWork hours/week:
40Employment Type:
Full timePlatform:
CHIEF LEGAL & ADMIN OFFICE GRPJob Type:
RegularPay Type:
SalariedPosted Date:
2024-10-18Application Deadline:Inclusion and Equal Opportunity EmploymentAt RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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GOLDMAN SACHS TOWER, 30 HUDSON STREET: JERSEY CITYCity:
Jersey CityCountry:
United States of AmericaWork hours/week:
40Employment Type:
Full timePlatform:
CHIEF LEGAL & ADMIN OFFICE GRPJob Type:
RegularPay Type:
SalariedPosted Date:
2024-10-18Application Deadline:Inclusion and Equal Opportunity EmploymentAt RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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