Investment Policy Analyst: Compliance, Controls & Trade Support

RBC Capital Markets, LLC; Stamford (CT); On-site; USD 70,000 - 120,000; Full time

Job summary

RBC Global Asset Management seeks an Investment Policy Analyst to join the U.S. team.

The role provides critical control functions ensuring investment activities comply with regulatory requirements and internal guidelines, with focus on portfolio adherence, front office advisory and trade support. You will support the Investment Policy Manager, onboard funds, advise on guideline breaches, and help strengthen controls across CRIMS and related processes.

Qualifications

• Bachelor's degree preferably in a related field such as finance, economics, or accounting.
• 0-3 years of experience in investment policy/compliance, operations, or related role within asset management.
• Basic understanding of fixed income fundamentals, including bond mathematics, duration, yield curves, and credit spreads.

Responsibilities

• Support policy design and framework for investment policy strategy and guidance.
• Advise on regulatory investment restrictions and guideline breaches with timely follow-up.
• Manage CRIMS rules and perform monitoring of portfolios and trading activity.
• Onboard new funds and negotiate clear investment guidelines with monitoring capabilities.
• Develop management information and KRIs to monitor risk and performance.

Skills

Critical Thinking

Detail-Oriented

Financial Planning and Analysis

Financial Services Industry

Fund Analysis

Information Capture

Investment Banking Analysis

Investment Performance Measurement

Investment Risk Management

Investments Analysis

Education

Bachelor's degree in finance/economics/accounting

Tools

Charles River Investment Management System

Job description

RBC Global Asset Management seeks an Investment Policy Analyst to join the U.S. team.

The role provides critical control functions ensuring investment activities comply with regulatory requirements and internal guidelines, with focus on portfolio adherence, front office advisory and trade support. You will support the Investment Policy Manager, onboard funds, advise on guideline breaches, and help strengthen controls across CRIMS and related processes.