Royal Bank of Canada
Associate Director - US Control Room
Royal Bank of Canada, Jersey City, New Jersey, United States, 07390
Job Summary
Job Description
Associate 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; and,
Monitoring and testing, demonstrating the ability to interpret internal policies and procedures.
Telecommuting permitted up to 2 days per work week.
Travel: Domestic and International Travel up to 5%.
TO APPLY: Please click “Apply Now” Button
Job SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic Thinking
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY
City:
Jersey City
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2024-10-18
Application Deadline:
I
nclusion
and Equal Opportunity Employment
At 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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
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Job Description
Associate 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; and,
Monitoring and testing, demonstrating the ability to interpret internal policies and procedures.
Telecommuting permitted up to 2 days per work week.
Travel: Domestic and International Travel up to 5%.
TO APPLY: Please click “Apply Now” Button
Job SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic Thinking
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY
City:
Jersey City
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2024-10-18
Application Deadline:
I
nclusion
and Equal Opportunity Employment
At 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.
Join our Talent Community
Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
#J-18808-Ljbffr