RBC Capital Markets, LLC
RBC Bank Regulatory Relations Associate Director
RBC Capital Markets, LLC, Raleigh, North Carolina, United States, 27601
Overview
WHAT IS THE OPPORTUNITY? Regulatory Relations (RBC RR) is RBC's primary point of contact and coordination for domestic and foreign regulators in the United States. Working together as a collaborative team across RBC's consolidated U.S. operations (CUSO), RBC RR provides support and advice in relation to regulatory exams, inquiries, investigations, and oversees the ongoing monitoring, reporting, and escalation of key regulatory matters. As a member of RBC RR, the incumbent will be RBC Bank's primary point of contact for the Office of the Comptroller of the Currency (OCC), and other regulators as relevant. As needed, the incumbent will lead and/or participate in regulatory engagements with other RBC businesses. WHAT WILL YOU DO? Maintain Regulatory Relationships: Exam Management & Continuous Monitoring Activities Provide timely and proactive guidance to RBC Bank Board Members, Executives and management to effectively maintain healthy regulatory relationships in conformance with all applicable laws, regulations, and policies. Provide exam management facilitation and advice to RBC Bank Executives and management, including preparation for meetings and regulatory requests and updates. Work closely with relevant subject matter experts and stakeholders across CUSO responsible for drafting and preparing responses to regulatory requests and exams. Facilitate and summarize exam findings and perspectives, and provide notification and escalation as to RBC Bank Board of Directors, Executives and management as appropriate. Coordinate the uploading of Board Materials, management reports and other ongoing supervisory materials to regulators. Maintain thorough knowledge of banking regulations, bank operations and procedures, risk management controls, and other internal control objectives and practices, relevant to RBC Bank's prudential regulators. Internal Reporting Assist in summarizing and prepare reporting that communicates RBCB exam activity and issues for RBC's Regulatory Action Committee. Prepare internal reports for RBC Bank Management and Board of Directors, and promote information sharing of existing and new material regulatory issues. Manage and track regulatory risk through regular (e.g., monthly/quarterly) metrics detailing regulatory themes and trends in exams, inquiries, and continuous monitoring. Issues Management Lead discussions on RBC Bank's regulatory issues, including the development of thematic observations, conclusions and recommendations related to regulatory issues; and Oversee the timeliness and accuracy of responses to regulators, including data requests and responses to exam findings (such as Matters Requiring Attention, etc.). Additional Responsibilities As required, create and maintain department documentation, including manuals, training materials, and communications; and Along with others, oversee and maintain the safeguarding of Confidential Supervisory Information. What do you need to succeed? Extensive and comprehensive regulatory knowledge and expertise (5+ year minimum) Excellent judgment and analytical skills. Excellent written and oral communication skills, and must be comfortable meeting with regulators, Board members and RBC Bank Executives on a regular frequency. Effective organization skills, including the ability to prioritize between tasks and deadlines. Ability to effectively analyze risk to the organization of potential issues discovered. Ability to interact with regulators and in team setting. Attention to detail and accuracy are essential. Strong Office (PowerPoint, Outlook, Excel) skills. In-depth knowledge of FRB and OCC, rules, regulations and examination practices strongly preferred. Undergraduate degree, Master’s/JD degree preferred, but not required. Former work experience at a bank regulator and/or in a regulatory liaison function preferred, but not required. 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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable 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 A world-class training program in financial services Flexible work/life balance options Opportunities to do challenging work Salary and Benefits The salary range is a general guideline and may be influenced by experience, skills, registration status, market conditions, and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. Legal and Diversity Note RBC is committed to an inclusive workplace and equal opportunity employment. See company policies for details. Job Details Address: 8081 ARCO CORPORATE DRIVE, RALEIGH City: Raleigh 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: 2025-05-01 Application Deadline: 2025-10-31
#J-18808-Ljbffr
WHAT IS THE OPPORTUNITY? Regulatory Relations (RBC RR) is RBC's primary point of contact and coordination for domestic and foreign regulators in the United States. Working together as a collaborative team across RBC's consolidated U.S. operations (CUSO), RBC RR provides support and advice in relation to regulatory exams, inquiries, investigations, and oversees the ongoing monitoring, reporting, and escalation of key regulatory matters. As a member of RBC RR, the incumbent will be RBC Bank's primary point of contact for the Office of the Comptroller of the Currency (OCC), and other regulators as relevant. As needed, the incumbent will lead and/or participate in regulatory engagements with other RBC businesses. WHAT WILL YOU DO? Maintain Regulatory Relationships: Exam Management & Continuous Monitoring Activities Provide timely and proactive guidance to RBC Bank Board Members, Executives and management to effectively maintain healthy regulatory relationships in conformance with all applicable laws, regulations, and policies. Provide exam management facilitation and advice to RBC Bank Executives and management, including preparation for meetings and regulatory requests and updates. Work closely with relevant subject matter experts and stakeholders across CUSO responsible for drafting and preparing responses to regulatory requests and exams. Facilitate and summarize exam findings and perspectives, and provide notification and escalation as to RBC Bank Board of Directors, Executives and management as appropriate. Coordinate the uploading of Board Materials, management reports and other ongoing supervisory materials to regulators. Maintain thorough knowledge of banking regulations, bank operations and procedures, risk management controls, and other internal control objectives and practices, relevant to RBC Bank's prudential regulators. Internal Reporting Assist in summarizing and prepare reporting that communicates RBCB exam activity and issues for RBC's Regulatory Action Committee. Prepare internal reports for RBC Bank Management and Board of Directors, and promote information sharing of existing and new material regulatory issues. Manage and track regulatory risk through regular (e.g., monthly/quarterly) metrics detailing regulatory themes and trends in exams, inquiries, and continuous monitoring. Issues Management Lead discussions on RBC Bank's regulatory issues, including the development of thematic observations, conclusions and recommendations related to regulatory issues; and Oversee the timeliness and accuracy of responses to regulators, including data requests and responses to exam findings (such as Matters Requiring Attention, etc.). Additional Responsibilities As required, create and maintain department documentation, including manuals, training materials, and communications; and Along with others, oversee and maintain the safeguarding of Confidential Supervisory Information. What do you need to succeed? Extensive and comprehensive regulatory knowledge and expertise (5+ year minimum) Excellent judgment and analytical skills. Excellent written and oral communication skills, and must be comfortable meeting with regulators, Board members and RBC Bank Executives on a regular frequency. Effective organization skills, including the ability to prioritize between tasks and deadlines. Ability to effectively analyze risk to the organization of potential issues discovered. Ability to interact with regulators and in team setting. Attention to detail and accuracy are essential. Strong Office (PowerPoint, Outlook, Excel) skills. In-depth knowledge of FRB and OCC, rules, regulations and examination practices strongly preferred. Undergraduate degree, Master’s/JD degree preferred, but not required. Former work experience at a bank regulator and/or in a regulatory liaison function preferred, but not required. 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 including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable 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 A world-class training program in financial services Flexible work/life balance options Opportunities to do challenging work Salary and Benefits The salary range is a general guideline and may be influenced by experience, skills, registration status, market conditions, and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. Legal and Diversity Note RBC is committed to an inclusive workplace and equal opportunity employment. See company policies for details. Job Details Address: 8081 ARCO CORPORATE DRIVE, RALEIGH City: Raleigh 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: 2025-05-01 Application Deadline: 2025-10-31
#J-18808-Ljbffr