Analyst, Investment Policy

RBC Capital Markets, LLC; Stamford (CT); On-site; USD 70,000 - 120,000; Full time

Job summary

RBC Global Asset Management seeks an Investment Policy Analyst to join the U.S. team.

The role provides critical control functions ensuring investment activities comply with regulatory requirements and internal guidelines, with focus on portfolio adherence, front office advisory and trade support. You will support the Investment Policy Manager, onboard funds, advise on guideline breaches, and help strengthen controls across CRIMS and related processes.

Qualifications

• Bachelor's degree preferably in a related field such as finance, economics, or accounting.
• 0-3 years of experience in investment policy/compliance, operations, or related role within asset management.
• Basic understanding of fixed income fundamentals, including bond mathematics, duration, yield curves, and credit spreads.

Responsibilities

• Support policy design and framework for investment policy strategy and guidance.
• Advise on regulatory investment restrictions and guideline breaches with timely follow-up.
• Manage CRIMS rules and perform monitoring of portfolios and trading activity.
• Onboard new funds and negotiate clear investment guidelines with monitoring capabilities.
• Develop management information and KRIs to monitor risk and performance.

Skills

Critical Thinking

Detail-Oriented

Financial Planning and Analysis

Financial Services Industry

Fund Analysis

Information Capture

Investment Banking Analysis

Investment Performance Measurement

Investment Risk Management

Investments Analysis

Education

Bachelor's degree in finance/economics/accounting

Tools

Charles River Investment Management System

Job description

Job Description

What is the opportunity?

RBC Global Asset Management is seeking an Investment Policy Analyst, reporting to the Investment Policy Manager, to join our U.S. team. This role will serve as a critical control function, ensuring investment activities comply with regulatory requirements and internal investment guidelines, focusing on portfolio adherence, front office advisory and trade support.

What will you do?

• Support Director, Investment Policy and Investment Policy Manager with the design and implementation of RBC BlueBay's investment policy strategy and framework;
• Provision of practical guidance of global regulatory investment restrictions including but not limited to Luxembourg UCITS, US 1940 Act and Canadian NI 81-102;
• Management of Charles River Investment Management System "CRIMS" and rules monitored outside "CRIMS." Including daily portfolio, pre and post trade alert management;
• Onboard new funds with specific focus on negotiation of clear investment guidelines and subsequent relevant monitoring capabilities;
• Advising on the resolution of investment guideline breaches and trading issues. The role will be responsible for ensuring that breaches are addressed promptly and followed up on to ensure that controls are reviewed and, where relevant, enhanced to mitigate the risk of recurrence;
• Advise investment teams on how to strengthen controls that remain outside of CRIMS to minimize the number of breaches and reduce incidents and errors;
• Advise investment teams on regulatory and client guideline restrictions;
• Responsible for the management of RBC BlueBay's CRIMS rule library; including Charles River guideline coding and periodic Accuracy and Completeness reviews;
• Development of management information and KRIs for Director, Investment Policy and Investment Policy Manager to monitor emerging risks within RBC BlueBay's portfolio management and trading activities;
• Support ongoing business development of CRIMS and advise on practical application of system enhancements and upgrades;
• Management of communications from administrators and segregated clients in relation to portfolio investment guidelines;
• Engage in completing annual audit; including providing and ensuring accuracy of all evidence and controls;
• Best Execution monitoring, performing daily trade analysis and assisting with quarterly reporting of trade data;
• Periodically assist the business by performing trade rebooking and booking new order flow to ensure accurate and timely trade life cycles.

What do you need to succeed?

Must-have

• Bachelor's degree preferably in a related field such as finance, economics, or accounting
• 0-3 years of experience in investment policy/compliance, operations, or related role within asset management
• Basic understanding of fixed income fundamentals, including bond mathematics, duration, yield curves, and credit spreads

Nice-to-have

• Understanding of some regulatory frameworks, such as ERISA, SEC, Volcker and Investment Company Act of 1940
• Proficiency with Charles River Investment Management System
• On track towards obtaining a CFA designation

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• Leaders who support your development through coaching and managing opportunities.
• Ability to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

Job Skills

Critical Thinking, Detail-Oriented, Financial Planning and Analysis (FP&A), Financial Services Industry, Fund Analysis, Information Capture, Investment Banking Analysis, Investment Performance Measurement, Investment Risk Management, Investments Analysis

Additional Job Details

Address: 750 WASHINGTON BOULEVARD:STAMFORD

City: Stamford

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: WEALTH MANAGEMENT

Job Type: Regular

Pay Type: Salaried

Posted Date: 2026-08-26

The expected salary range for this particular position is $70,000-$120,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.