Compliance Officer - FINOP's Compliance

What is the opportunity?

Collaborate with team members to provide oversight and advice to the organization's financial and operations departments to drive compliance with SEC and regulations. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments. The work is fast paced and detailed, supports business partners based in New York, New Jersey, Toronto, and Minneapolis.

What will you do?

• Provide advisory Compliance services to the Firm's Capital Markets departments related to Finance, Operations, and Regulatory Reporting matters.
• Work with Operations and front-office personnel on the build out and maintain Target Operating Models for order and transaction-based regulatory reports; advise on the requirements of reporting systems including, but not limited to, LOPR, TRACE, Electronic Blue Sheets(EBS), Consolidated Audit Trail (CAT), Global Securities Aggregation, and Short Interest reporting.
• Collaborate with Capital Markets and Wealth Management Compliance regional peers to achieve, whenever possible and appropriate, a system of common, consistent and/or global controls (e.g., policies and procedures), tools, methodologies, and requisite solutions (e.g., surveillance) to address common or similar compliance needs of the global CM businesses.
• Proactively identify issues impacting RBC through participation in business, industry, and regulatory initiatives.
• Support the Firm's compliance program by developing policies and procedures for new and on-going business initiatives, drafting guidance, and training materials, and assisting with investigations and special projects.
• Liaise with Front Office Technology to remediate systemic issues impacting regulatory requirements, including prioritization of outstanding items, driving impact assessment analysis, and raising material issues to Senior Compliance stakeholders and regulators where necessary.
• Assist the Regulatory Affairs Group in responding to regulatory inquires and exam requests including coordinating data across the Firm's Capital Markets departments, remediating identified issues, interpreting findings, and assisting in drafting all related responses.

What do you need to succeed?

Must-have

• Bachelor's Degree
• 3-5 years of experience in financial services compliance or legal background or experience.
• Strong verbal and written communication skills

Nice-to-have

• Experience in Regulatory Reporting, such as Electronic Blue Sheets, Consolidated Audit Trail, or Short Interest Reporting, or Finance and Operations
• Experience working in an evolving compliance environment within a matrixed environment including collaboration with capital markets operations, finance, regulatory services, and IT
• FINRA Licensure Series 7 and 66
• Juris Doctor

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 $65,000-115,000, 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

Additional Job Details

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

Inclusion and Equal Opportunity Employment

At 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.