RBC Capital Markets, LLC
Director, IT Regulatory Compliance
RBC Capital Markets, LLC, Jersey City, New Jersey, United States, 07390
Overview
We are looking for a seasoned Cyber Risk and Compliance professional to join our team to help the CUSO IT Risk Organization to support regulatory compliance assessments. This role will lead the regulatory compliance assessment function for the U.S. Intermediate Holding Company (IHC) and its Entities, including but not limited to, providing sound risk advisory and oversight to ensure consistent application of instructions across various entities. This role will collaborate, develop, lead, communicate and execute activities to ensure timely submission of regulatory compliance assessments. IT Regulatory Compliance Director will play a crucial role in safeguarding customer financial information and ensuring adherence to regulations, including but not limited to the Gramm-Leach Bliley Act (GLBA) and New York State Department of Financial Services (NYDFS) 23 NYCRR Part 500.
What will you do
Provide Segments/Entities with guidance and standards for compliance risk assessments.
Advocate for information risk culture, increasing awareness on identifying potential control/operational gaps, process improvement opportunities, potential risks, and adequately managing them.
Monitor changes in regulatory guidance/requirements through interaction with various industry groups/regulatory bodies and drive the internal assessment of impact to reporting obligations.
Monitor IT change management initiatives to ensure compliance is maintained while keeping leadership abreast of impacts.
Act as liaison between various stakeholders (Second Line and Internal Audit) to meet the requirements during different engagements.
Develop and maintain training program to raise the level of awareness of Compliance risk assessments and to provide guidance on the execution of each.
What you need to succeed Must-have
Minimum of 10 years of information security and information risk experience.
Minimum of years of Compliance assessment experience.
Expert knowledge of the Gramm-Leach Bliley Act (GLBA) and NYDFS 23 NYCRR Part 500.
Strong ability to perform IT risk assessments following a defined Risk Management framework, standards, policies, and industry best practices.
Creative problem-solving and analytical skills with the proven ability to exercise flexibility and judgment while partnering with stakeholders at different levels of the organization.
Ability to challenge current IT control landscape, looking to increase efficiencies and drive changes on existing processes.
Experience working with regulators and internal/external auditors effectively and helping stakeholders with remediation plans.
Strong communication skills and ability to explain technical information to drive/influence decisions across stakeholders.
Strategic thinker with excellent interpersonal skills to work across technical and executive stakeholders. CRISC, CISSP, CISA, CISM are considered assets.
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 option
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
The good-faith expected salary range for the above position is $160,000 - $250,000, depending on factors including but not limited to the candidate\'s 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.
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We are looking for a seasoned Cyber Risk and Compliance professional to join our team to help the CUSO IT Risk Organization to support regulatory compliance assessments. This role will lead the regulatory compliance assessment function for the U.S. Intermediate Holding Company (IHC) and its Entities, including but not limited to, providing sound risk advisory and oversight to ensure consistent application of instructions across various entities. This role will collaborate, develop, lead, communicate and execute activities to ensure timely submission of regulatory compliance assessments. IT Regulatory Compliance Director will play a crucial role in safeguarding customer financial information and ensuring adherence to regulations, including but not limited to the Gramm-Leach Bliley Act (GLBA) and New York State Department of Financial Services (NYDFS) 23 NYCRR Part 500.
What will you do
Provide Segments/Entities with guidance and standards for compliance risk assessments.
Advocate for information risk culture, increasing awareness on identifying potential control/operational gaps, process improvement opportunities, potential risks, and adequately managing them.
Monitor changes in regulatory guidance/requirements through interaction with various industry groups/regulatory bodies and drive the internal assessment of impact to reporting obligations.
Monitor IT change management initiatives to ensure compliance is maintained while keeping leadership abreast of impacts.
Act as liaison between various stakeholders (Second Line and Internal Audit) to meet the requirements during different engagements.
Develop and maintain training program to raise the level of awareness of Compliance risk assessments and to provide guidance on the execution of each.
What you need to succeed Must-have
Minimum of 10 years of information security and information risk experience.
Minimum of years of Compliance assessment experience.
Expert knowledge of the Gramm-Leach Bliley Act (GLBA) and NYDFS 23 NYCRR Part 500.
Strong ability to perform IT risk assessments following a defined Risk Management framework, standards, policies, and industry best practices.
Creative problem-solving and analytical skills with the proven ability to exercise flexibility and judgment while partnering with stakeholders at different levels of the organization.
Ability to challenge current IT control landscape, looking to increase efficiencies and drive changes on existing processes.
Experience working with regulators and internal/external auditors effectively and helping stakeholders with remediation plans.
Strong communication skills and ability to explain technical information to drive/influence decisions across stakeholders.
Strategic thinker with excellent interpersonal skills to work across technical and executive stakeholders. CRISC, CISSP, CISA, CISM are considered assets.
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 option
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
The good-faith expected salary range for the above position is $160,000 - $250,000, depending on factors including but not limited to the candidate\'s 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.
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