Investment Policy & Compliance Analyst

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

Benefits offered by this job

Total Rewards

Career development

Impactful work

Collaborative team

Client relationships

Job summary

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

You will help ensure investment activities comply with regulatory requirements and internal guidelines, focusing on portfolio adherence, front-office advisory, and trade support. You will design policy frameworks, advise on regulatory restrictions, and oversee CRIMS-related controls to mitigate breaches, while supporting audits and performance monitoring.

Qualifications

• Bachelor’s degree in finance, economics, or accounting.
• 0–3 years of investment policy/compliance, operations, or related role within asset management.
• Basic understanding of fixed income fundamentals, including duration, yield curves, and credit spreads.

Responsibilities

• Assist with design and implementation of investment policy strategy and framework.
• Provide guidance on global regulatory investment restrictions (e.g., US 1940 Act, NI 81-102).
• Manage CRIMS and related rules monitoring, including dashboard and alert management.
• Onboard new funds with clear investment guidelines and monitoring capabilities.
• Address investment guideline breaches and trading issues promptly and support control reviews.

Skills

Critical Thinking

Detail-Oriented

FP&A

Investment Analysis

Education

Bachelor’s degree in finance/economics/accounting

Tools

Charles River IMS

Job description

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

You will help ensure investment activities comply with regulatory requirements and internal guidelines, focusing on portfolio adherence, front-office advisory, and trade support. You will design policy frameworks, advise on regulatory restrictions, and oversee CRIMS-related controls to mitigate breaches, while supporting audits and performance monitoring.