Compliance Officer - FINOP's Compliance
Compliance Officer - FINOP's Compliance
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1 Vacancy
Job Description
Job Summary
Job Description
What is the opportunity
Collaborate with team members to provide oversight and advice to the organizations financial and operations departments to drive compliance with SEC FINRA OCC FICC and DTC rules and regulations. Applies experience and seasoned knowledge skills and practices to perform a variety of assignments. The work is fast paced and detailed supports business partners based in New York New Jersey Toronto and Minneapolis.
What will you do
Provide real time advisory Compliance services to the Firms Capital Markets departments related to Finance Operations and Regulatory Reporting matters.
Advise on regulatory matters and Firm policies impacting Operations and Finance including SEA rules 15c3-1 15c3-3 Reg SHO Rule 204 NMS 613 and Fed & OCC requirements.
Work with Operations and front-office personnel on the build out and ongoing maintenance of a Target Operating Model for order and transaction-based regulatory reports; advise on the requirements of reporting systems including but not limited to LOPR TRACE Electronic Blue Sheets(EBS) Consolidated Audit Trail (CAT) Global Securities Aggregation and Short Interest reporting.
Assist with the Firm-wide Consolidated Audit Trail (CAT) program including establishing a governance structure building a robust control framework designed to identify data and reporting inaccuracies reviewing all business functional and technical requirement documents monitoring QA and UAT testing scenarios and liaising with FINRA/SROs to escalate material concerns or reporting issues.
Collaborate with Capital Markets and Wealth Management Compliance regional peers to achieve whenever possible and appropriate a system of common consistent and/or global controls (e.g. policies and procedures) tools methodologies and requisite solutions (e.g. surveillance) to address common or similar compliance needs of the global CM businesses.
Proactively identify issues impacting RBC through participation in business industry and regulatory initiatives.
Support the Firms compliance program by developing policies and procedures for new and on-going business initiatives drafting guidance and training materials driving IT-related initiatives and assisting with investigations and special projects.
Liaise with Front Office Technology to remediate systemic issues impacting regulatory requirements including prioritization of outstanding items driving impact assessment analysis and raising material issues to Senior Compliance stakeholders and regulators where necessary.
Assist the Regulatory Affairs Group in responding to regulatory inquires and exam requests including coordinating data across the Firms Capital Markets departments remediating identified issues interpreting findings and assisting in drafting all related responses.
What do you need to succeed
Must-have
- Bachelors Degree
- 5 or more years of experience in financial services compliance
- Experience in Regulatory Reporting such as Electronic Blue Sheets Consolidated Audit Trail or Short Interest Reporting or Finance and Operations
- Experience working in an evolving compliance environment within a matrixed environment including collaboration with capital markets operations finance regulatory services and IT
- Strong verbal and written communication skills
Nice-to-have
- FINRA Licensure Series 7 and 66
- Juris Doctor
Whats 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 $65000-115000 depending on your experience skills and registration status market conditions and business needs.
You have the potential to earn more through RBCs 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.
RBCs 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 RBCs high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
Job Skills
Audits Compliance Compliance Requirements Critical Thinking Data Gathering Analysis Decision Making Financial Regulation Financial Services Industry Industry Knowledge Internal Controls Interpersonal Relationship Management Operational Risks Product Services Regulatory Compliance Management Risk Management Securities Laws Securities Regulations Strategic ThinkingAdditional Job Details
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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
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.
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Required Experience:
Unclear Seniority
Employment Type
Full-Time
