Director, BSA Officer for RBC Capital Markets, LLC and RBC CMA, Ltd - U.S. Financial Crimes

RBC Capital Markets, LLC; Jersey City, Providence (NJ, RI); Hybrid; USD 160,000 - 250,000; Full time

Job summary

An established industry player is seeking a BSA Officer to lead and oversee key components of their Financial Crimes program. This role requires a deep understanding of AML, sanctions, and ABAC regulations, along with the ability to develop risk-based compliance strategies. You will manage compliance programs, customize strategies for broker dealer needs, and ensure adherence to US AML regulations. Join a collaborative team that values your growth, offering competitive compensation and a chance to make a meaningful impact in a dynamic environment. If you have a passion for compliance and a commitment to excellence, this opportunity is for you.

Benefits

Competitive compensation

Bonuses

Benefits

Leadership support for growth

Development opportunities

Qualifications

• 10+ years of relevant experience in compliance and financial regulations.
• Deep understanding of AML, sanctions, and ABAC regulations.

Responsibilities

• Manage AML, ABAC, and sanctions compliance programs.
• Develop and oversee policies and procedures for Financial Crimes.

Skills

Adaptability

Critical Thinking

Customer Service

Detail-Oriented

Financial Engineering

Financial Statement Analysis

Investments Analysis

Personal Development

Personal Initiative

Teamwork

Education

University degree

Job description

Job Summary

Develop, lead, and oversee key components of the Financial Crimes program at RBC Capital Markets, LLC (RBCCM LLC) and RBC CMA, LLC (CMA), ensuring alignment with RBC US Capital Markets strategy.

Job Description

What is the Opportunity?

As a BSA Officer, you will be responsible for AML, Anti-Bribery Anti-Corruption (ABAC), and Economic Sanctions compliance, tailoring strategies to meet business needs and regulatory requirements.

What will you do?

• Manage AML, ABAC, and sanctions compliance programs.
• Customize US and global AML strategies for broker dealer needs.
• Serve as the primary interface and subject matter expert for business expansion and product changes.
• Develop and oversee policies and procedures for Financial Crimes.
• Monitor and challenge control environments.
• Ensure compliance with US AML regulations (BSA, USA PATRIOT Act, AML Act, CDD Rule).
• Coordinate with Fraud Management and stakeholders for escalation, investigation, and reporting.
• Enhance activity monitoring to comply with CDD requirements.
• Advise on transaction monitoring typologies and data feeds.
• Develop controls to mitigate financial crime risks and address gaps.
• Interface with Internal Audit and regulators (OCC, FRB, FINRA).
• Present to the RBCCM LLC Board on Financial Crimes.
• Review and approve model documentation as part of lifecycle management.
• Ensure compliance with all relevant regulations and reporting requirements.
• Participate as a member of the Financial Crimes Management Committee.

What do you need to succeed?

• 10+ years of relevant experience.
• Deep understanding of AML, sanctions, and ABAC regulations and industry practices.
• Knowledge of broker dealer operations and associated risks.
• Ability to develop risk-based compliance strategies.
• Strong knowledge of risk management, assessments, and reporting.
• Understanding of financial products and associated risks.
• Emerging risk awareness (e.g., cryptocurrency).
• University degree preferred.
• Excellent communication, analytical, and organizational skills.
• Strong interpersonal skills and ability to prioritize multiple projects.
• Attention to detail and methodological analysis approach.
• Leadership qualities, adaptability, reliability, and influence skills.
• Critical thinking, innovation, and digital mindset.
• Ability to dedicate 2-4 hours for concentrated activities such as report preparation.

What's in it for you?

Join a collaborative and high-performing team with a comprehensive rewards package, development opportunities, and the chance to make a meaningful impact in a dynamic environment.

• Competitive compensation, bonuses, and benefits.
• Leadership support for your growth.
• Opportunities to challenge yourself and build client relationships.

The salary range is $160,000 - $250,000, depending on experience and market conditions, excluding additional bonuses and benefits.

#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

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

Conclusion and Equal Opportunity Employment

RBC promotes an inclusive workplace valuing diversity and equal opportunity. We support our employees' growth and foster a respectful, collaborative environment.

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