RBC
Job Description
Opportunity
Responsible for providing regulatory guidance, oversight, and effective challenge to RBC Capital Markets, LLC’s US Macro sales & trading personnel and supporting functions. Knowledge of Futures, Commodities, Rates, and/or FX products is necessary for the candidate provide high-quality, real-time advisory services to all covered businesses. Also responsible for assisting with identifying and mitigating key risks when engaged on regulatory and business-driven initiatives.
Responsibilities
Advise business personnel on Firm policies and regulatory matters with a particular focus on Futures, Commodities, Rates, and/or FX .
Support activities of RBC’s Global Macro business units, with emphasis on the FCM.
Work closely with personnel within the Global Macro business units (Sales & Trading) as well as First Line Supervision, Technology, BCS, Legal, Finance, and other Compliance staff.
Deal with highly complex issues, projects, and processes.
Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.
Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.
Conduct periodic and annual risk assessments of key regulatory themes to benchmark the Macro risk profile against other regions and the enterprise.
Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.
Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).
Investigate and assist with responses to regulatory inquiries and examinations.
Be part of a global collaborative enterprise compliance function.
Qualifications
Bachelor's Degree
2 years of capital markets desk advisory experience
5-7 or more years of experience in compliance, consulting, operational risk, or financial services
Series 3
Nice to Have
Master's or JD Degree
Any FINRA Registrations (Series 7, 57, 4, 24, etc.)
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 $110,000-190,000, 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 Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
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.
Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
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Responsibilities
Advise business personnel on Firm policies and regulatory matters with a particular focus on Futures, Commodities, Rates, and/or FX .
Support activities of RBC’s Global Macro business units, with emphasis on the FCM.
Work closely with personnel within the Global Macro business units (Sales & Trading) as well as First Line Supervision, Technology, BCS, Legal, Finance, and other Compliance staff.
Deal with highly complex issues, projects, and processes.
Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.
Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.
Conduct periodic and annual risk assessments of key regulatory themes to benchmark the Macro risk profile against other regions and the enterprise.
Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.
Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).
Investigate and assist with responses to regulatory inquiries and examinations.
Be part of a global collaborative enterprise compliance function.
Qualifications
Bachelor's Degree
2 years of capital markets desk advisory experience
5-7 or more years of experience in compliance, consulting, operational risk, or financial services
Series 3
Nice to Have
Master's or JD Degree
Any FINRA Registrations (Series 7, 57, 4, 24, etc.)
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 $110,000-190,000, 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 Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
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.
Join our Talent Community Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
#J-18808-Ljbffr