Control Room Compliance Director

RBC; Los Angeles (CA); On-site; USD 160,000 - 260,000; Full time

Job summary

RBC in San Francisco seeks an experienced information barriers professional to maintain Watch and Restricted Lists and prevent improper info flow between public and private firm areas. You will review RBC Research before publication for FINRA and SEC rule compliance, advise on permissible activities, and coordinate with Investment Banking on deal announcements.

Must have a Bachelor's Degree, 10+ years in Control Room or 12+ years broker-dealer compliance, with flexibility for non-traditional

Qualifications

• Bachelor's Degree required
• 10+ years in Control Room, or 12+ years broker-dealer compliance
• Ability to work non-traditional hours and weekends
• Meet tight deadlines and make quick decisions
• Subject matter expertise on FINRA Rule 2241, Regulation M

Responsibilities

• Review research notes for content against Watch/Restricted Lists
• Update and monitor Restricted List daily
• Update Watch List daily; coordinate with Investment Banking
• Provide real-time support
• Advise on restrictions and permissible activities
• Coordinate with IB on deal announcements
• Information Barriers surveillance, monitoring and testing
• Contribute to risk assessments and RCM

Skills

Audits Compliance

Critical Thinking

Data Gathering Analysis

Decision Making

Financial Regulation

Industry Knowledge

Interpersonal Relationship Management

Product Services

Risk Management

Strategic Thinking

Education

Bachelor's Degree

Job description

RBC in San Francisco seeks an experienced information barriers professional to maintain Watch and Restricted Lists and prevent improper info flow between public and private firm areas. You will review RBC Research before publication for FINRA and SEC rule compliance, advise on permissible activities, and coordinate with Investment Banking on deal announcements.

Must have a Bachelor's Degree, 10+ years in Control Room or 12+ years broker-dealer compliance, with flexibility for non-traditional