RBC
Overview
Associate Director, US Macro Products Compliance – RBC Join to apply for the Associate Director, US Macro Products Compliance role at RBC. What is the 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 to 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. What will you do?
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. What do you need to succeed?
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 including 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. Salary: The expected salary range for this position is $110,000-190,000, depending on experience, skills, and registration status, market conditions and business needs. You may earn more through RBC’s discretionary variable compensation program, subject to business performance and individual goals. RBC’s compensation philosophy recognizes the importance of a highly qualified global workforce and aims to attract, engage and retain talent that drives RBC’s high-performance culture and sustainable shareholder value. Job Details
Address: BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET, NEW YORK City: New York 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: 2025-09-29 Application Deadline: 2025-10-31 EEO Notice:
RBC is committed to an inclusive workplace with diverse perspectives and equal opportunity employment.
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Associate Director, US Macro Products Compliance – RBC Join to apply for the Associate Director, US Macro Products Compliance role at RBC. What is the 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 to 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. What will you do?
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. What do you need to succeed?
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 including 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. Salary: The expected salary range for this position is $110,000-190,000, depending on experience, skills, and registration status, market conditions and business needs. You may earn more through RBC’s discretionary variable compensation program, subject to business performance and individual goals. RBC’s compensation philosophy recognizes the importance of a highly qualified global workforce and aims to attract, engage and retain talent that drives RBC’s high-performance culture and sustainable shareholder value. Job Details
Address: BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET, NEW YORK City: New York 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: 2025-09-29 Application Deadline: 2025-10-31 EEO Notice:
RBC is committed to an inclusive workplace with diverse perspectives and equal opportunity employment.
#J-18808-Ljbffr