Director, Information Barriers & Control Room Compliance

RBC; Los Angeles (CA); Presencial; USD 160 000 - 260 000; Tempo integral

Vantagens oferecidas por esta oferta de emprego

Health benefits

401(k) with match

Paid time off

Career development coaching

Competitive compensation

Resumo da oferta

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.

Qualificações

• 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.

Responsabilidades

• 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.

Conhecimentos

Audits

Compliance

Critical Thinking

Data Gathering

Decision Making

Financial Regulation

Industry Knowledge

Interpersonal Rel. Mgmt.

Product Services

Risk Management

Strategic Thinking

Formação académica

Bachelor’s Degree

Juris Doctor (JD)

Descrição da oferta de emprego

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.