RBC Capital Markets, LLC
Branch Examiner & Remote Program Lead
RBC Capital Markets, LLC, Jersey City, New Jersey, United States, 07390
Job SummaryOversees day-to-day operations of the corporation's comprehensive compliance function and ensures consistency in approach to and compliance with internal business process rules and external regulations. Manager with HR responsibility. Typically manages and oversees supervisors and/or hourly/professional jobs and responsible for setting the overall direction for employees.
Job DescriptionWhat is the opportunity?The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC.What will you do?Responsible for reviewing work performed by offshore examiners and verify its accuracy and completion.Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.Have discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.Distribution and/or presentation of final reports / inspection findings to business stakeholders, inclusive of senior management.Contribute and generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.Assist with the development of the Shared Service reporting framework, Pilot governance, risk assessments, and any other matters pertaining to the US Branch Program.What do you need to succeed?Must-Have5-7 years of experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, Business Strategy, and/or Internal Audit.Bachelor's degree required.Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulationsFamiliarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.Nice to have:Masters or Law School DegreeAny FINRA Registrations (Series 7, 24, etc.)What's in it for you?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.A comprehensive Total Rewards Program including competitive compensation, bonuses, and flexible benefitsContinued opportunities for career advancementWorld-class sales training, coaching, and development opportunitiesSupport from a dynamic, collaborative, progressive, and high performing team, as well as world-class tools and trainingOpportunity to achieve great success and grow your career with RBCROLES IN: NY, NJ, CA, COThe good-faith expected salary range for the above position is $110,000-190,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.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* Generates sustainable shareholder returns and above market shareholder value#LI-POST#LI-HybridJob SkillsAdditional Job DetailsAddress: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:2024-11-20
Application Deadline:2025-01-15
Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveI
nclusion
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.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.
Job DescriptionWhat is the opportunity?The Branch Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers within the RBC umbrella: RBC Capital Markets LLC (encompasses both retail and institutional businesses), RBC CMA Ltd., City National Securities, Inc., and CNR Securities, LLC.What will you do?Responsible for reviewing work performed by offshore examiners and verify its accuracy and completion.Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc.Have discussions either in-person or virtually with applicable branch or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted.Distribution and/or presentation of final reports / inspection findings to business stakeholders, inclusive of senior management.Contribute and generate ideas for enhancements to the Program by leveraging industry research, holding discussions with LOB Compliance Advisory teams, and other methods.Assist with the development of the Shared Service reporting framework, Pilot governance, risk assessments, and any other matters pertaining to the US Branch Program.What do you need to succeed?Must-Have5-7 years of experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, Business Strategy, and/or Internal Audit.Bachelor's degree required.Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulationsFamiliarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.Nice to have:Masters or Law School DegreeAny FINRA Registrations (Series 7, 24, etc.)What's in it for you?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.A comprehensive Total Rewards Program including competitive compensation, bonuses, and flexible benefitsContinued opportunities for career advancementWorld-class sales training, coaching, and development opportunitiesSupport from a dynamic, collaborative, progressive, and high performing team, as well as world-class tools and trainingOpportunity to achieve great success and grow your career with RBCROLES IN: NY, NJ, CA, COThe good-faith expected salary range for the above position is $110,000-190,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.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* Generates sustainable shareholder returns and above market shareholder value#LI-POST#LI-HybridJob SkillsAdditional Job DetailsAddress: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:2024-11-20
Application Deadline:2025-01-15
Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveI
nclusion
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.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.