Director, Control Room Compliance

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

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

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

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.

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