Director, Control Room Compliance

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

Benefits offered by this job

Health benefits

401(k) with match

Paid time off

Career development coaching

Competitive compensation

Job summary

RBC is seeking an experienced compliance professional to maintain information barriers between public and private sides of the firm. You will review Research for FINRA/SEC adherence, maintain Watch and Restricted Lists, and advise on permissible activities across Research, Sales & Trading and Investment Banking.

Expect scheduling flexibility, rapid decision-making under deadlines, and deep knowledge of FINRA Rule 2241 and related regulations.

Qualifications

• Bachelor’s Degree required.
• 10+ years in Control Room or 12+ years broker-dealer compliance.
• Non-traditional hours and weekend coverage may be required.
• Ability to work under tight deadlines with sound judgment.
• Subject matter expertise in FINRA Rule 2241 and related rules.

Responsibilities

• Review research notes/reports for Watch/Restricted Lists approval.
• Update Restricted List on a daily basis and monitor changes.
• Update and review Watch List with Investment Banking inputs.
• Provide real-time support and guidance on restrictions.
• Coordinate with Investment Banking on deal announcements.
• Conduct Information Barriers surveillance, monitoring and testing.
• Perform risk assessments and RC/M oversight.

Skills

Audits

Compliance

Critical Thinking

Data Gathering

Decision Making

Financial Regulation

Industry Knowledge

Interpersonal Rel. Mgmt.

Product Services

Risk Management

Strategic Thinking

Education

Bachelor’s Degree

Juris Doctor (JD)

Job description

Job Description

What is the opportunity?

This role is responsible for maintaining the firm’s Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Corporate Banking, etc.). It will maintain the firm’s Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. Further, this role will review RBC’s Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and will cover Research and Investment Banking from an advisory perspective.

What will you do?

• Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
• Restricted List: daily updating and monitoring of the Restricted List
• Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking
• Real-time Support
• Advise Research and Sales & Trading of restrictions and corresponding permissible activities
• Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
• Information Barriers Surveillance, Monitoring and Testing
• Risk Assessments and RCM

What do you need to succeed?

Must have

• Bachelor’s Degree
• 10 or more years of Control Room experience, or 12 or more years experience in broker dealer compliance
• Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).
• Ability to work under short deadlines and make quick and reasoned decisions
• Subject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations.

Nice to Have

• Juris Doctor (JD)
• Ability to work independently while also being able to work effectively in a team environment

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.

The expected salary range for this particular position is$160,000-$260,000, 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

#LI-Post

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

TWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCO

City:

San Francisco

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:

2026-07-15

Application Deadline:

2026-10-30

Note** : **Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

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.