Associate Director, Deputy to the BSA AML Officer, RBC Capital Markets- U.S. Financial Crimes

RBC Capital Markets, LLC; Jersey City, Providence (NJ, RI); Hybrid; USD 110,000 - 190,000; Full time

Job summary

An established industry player is seeking a dedicated professional to support financial crimes compliance. This role involves working closely with the BSA AML Officer to ensure adherence to regulations, develop controls, and oversee transaction monitoring. You will engage with various stakeholders to manage risks and contribute to critical reports. Join a dynamic and collaborative environment that values innovation and community impact, offering competitive compensation and opportunities for growth. If you are passionate about making a difference in financial compliance, this is the perfect opportunity for you.

Benefits

Competitive Compensation

Bonuses

Stock Options

Leadership Support

Challenging Work Opportunities

Qualifications

• 4+ years of experience in financial crimes or risk management.
• Extensive knowledge of AML and U.S. regulations.
• Strong understanding of broker dealer operations.

Responsibilities

• Support BSA AML Officer with audit and regulatory engagement.
• Develop controls to mitigate financial crimes risks.
• Oversee transaction monitoring reviews and incident resolutions.

Skills

Adaptability

Critical Thinking

Customer Service

Detail-Oriented

Financial Engineering

Financial Statement Analysis

Investments Analysis

Personal Development

Personal Initiative

Teamwork

Education

University Degree

Tools

Microsoft Office

Job description

Job Summary

Support the BSA AML Officer of RBC Capital Markets, LLC ("RBCCM LLC") and RBC CMA, Ltd ("CMA") in overseeing and executing Financial Crimes requirements for the broker dealer. Provide ongoing financial crimes subject matter expertise and policy support to the BSA AML Officer, and collaborate with 1LOD, 2LOD, and 3LOD teams.

What will you do?

• Support the BSA AML Officer with audit and regulator engagement, and assist in resolving information requests and reporting
• Coordinate with the BSA AML Officer to remediate audit or regulatory issues
• Assist in overseeing, monitoring, and challenging the control environment effectively
• Develop controls to mitigate financial crimes risks and identify gaps/remedial actions to meet regulatory standards
• Manage the New Business Committee (NBC) Financial Crimes requirements related to new or expanding products and services, including global stakeholder coordination
• Serve as a subject matter expert on Financial Crimes requirements, handling AML inquiries across infrastructure groups
• Review and advise on AML surveillance rules, data feeds, interfaces, and other AML system issues
• Oversee transaction monitoring reviews and incident resolutions by the Capital Markets FIU
• Supervise Suspicious Activity Report filings, ensuring proper risk mitigation
• Contribute to the broker dealer's Risk Assessment and advise on product risks and their impact on Client Risk Ratings
• Draft and present the quarterly US CM AML Report, including metrics, trend analysis, and issue management
• Participate actively in the CUSO Financial Crime Management Committee
• Handle AML inquiries from front and back office, acting as a SME in Financial Crimes requirements

What do you need to succeed?

• 4+ years of relevant experience in financial crimes or risk management
• Extensive knowledge of AML and related U.S. regulations (BSA, USA PATRIOT Act, OFAC, FCPA)
• Strong understanding of broker dealer operations and associated financial crimes risks
• In-depth knowledge of Capital Markets products, trade lifecycle, and their use in Financial Crimes
• Familiarity with AML systems, technology, and databases (preferred)
• Knowledge of emerging risks like cryptocurrency (preferred)
• Investigative research skills (preferred)
• University degree (preferred)
• Excellent communication skills, both written and oral
• Critical thinking and interpersonal skills
• Proactive, organized, and influential
• Proficiency in Microsoft Office (Level 2 or above)
• Ability to dedicate significant effort (~2-4 hours) on detailed reports and analysis

What's in it for you?

Join RBC to work in a dynamic, collaborative environment that fosters growth, innovation, and community impact. Benefits include competitive compensation, bonuses, stock options, leadership support, and opportunities for challenging work and client engagement.

The salary range for this position is $110,000 - $190,000 (New Jersey), based on experience, skills, and market conditions. Compensation includes bonuses, benefits, and retirement plans.

#LI - Hybrid

#LI - POST

Job Skills

Adaptability, Critical Thinking, Customer Service, Detail-Oriented, Financial Engineering, Financial Statement Analysis, Investments Analysis, Personal Development, Personal Initiative, Teamwork

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: Group Risk Management

Job Type: Regular

Pay Type: Salaried

Posted Date: 2025-02-08

Application Deadline: 2025-07-05

Note: Applications accepted until 11:59 PM the day before the deadline.

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