Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY

Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY:

The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border (e.g. Canadian) regulations. The Advisory Compliance Officer provide compliance oversight to (1) the Macro and Spread businesses trading equity products and (2) the U.S. Capital Markets Gifts and Entertainment (“G&E”) Program. Develop and deliver trainings sessions on business and regulatory matters and develop and maintain policies and procedures to comply with regulatory requirements. Assist with internal audits and external exams and inquiries and assist in development and enhancing surveillance reviews. Review new product and business initiatives for potential compliance and regulatory risks. Promote adherence to relevant legal and regulatory requirements regarding political contributions, as well as federal, state and local limits and requirements. Provide guidance to employees regarding the disclosure requirements applicable to interactions with government entities and/or officials. Coordinate certifications for MSRB G-37 filings. Monitor, evaluate, and approve G&E to government/foreign officials.

Telecommuting permitted up to 1 day per week.

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Full time employment, Monday – Friday, 40 hours per week, $153,750 per year.

MINIMUM REQUIREMENTS:

Must have a Bachelor’s degree in Business, Business Administration, Finance or a related field and 4 years of related work experience.

Must have 3 years of experience in:

• Both U.S. and Canadian capital markets regulatory requirements, including OSC National Instruments, CFTC Regulations, and SEC Regulations.
• Compliance risk assessments.
• Execution of cross-asset strategic compliance initiatives.
• Presentation of key risk indicators and other trend analysis to senior management.
• Implementing compliance monitoring programs to detect breaches of internal policies and adherence to global regulatory requirements, including the design, documentation, and escalation of findings related to such monitoring.
• Developing notices to communicate markets regulatory compliance requirements and changes to cross-asset audiences.
• Development of cross-asset training plans and delivery of markets regulatory compliance training.

 Must have 1 year of experience in:

• An advisory or compliance role supporting a capital markets sales and trading business.
• A compliance role supporting global policy development or an equivalent core compliance program. 
• Implementation of the FX and Precious Metals Code.
• 15a-6 regulatory requirements and processes.
• Equities markets and equities regulation.

The base salary for this job is $153,750 per year.  This salary 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.

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

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

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At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.

RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.