Director, Head of Canadian Control Room
Director, Head of Canadian Control Room
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
Job Summary
Job Description
What is the opportunity
Act as the key relationship manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. Responsible for managing all aspects of monitoring and testing within the Canadian Control Room and updates to policies and procedures owned by the Canadian Control Room. Responsible for conflict management process for Corporate and Investment Banking businesses.
What will you do
Responsible for maintaining the firms Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g. Research Sales & Trading) and the private side areas (e.g. Investment Banking Capital Markets Leverage Finance)
Maintain the Firms Watch and Restricted Lists. Implement restrictions pursuant to securities laws and Firm policies and procedures
Review the Firms Research prior to publication to ensure it adheres to regulatory requirements
Advise Research Investment Banking and various origination groups
Collaborate with regional Compliance and Law Group colleagues/counterparts to implement global policies and procedures in relation to personal trading conflicts of interest and information barriers
- HR management responsibilities for the Associate Directors Compliance Officers and Compliance Analyst within the Canadian Control Room.
- Responsible for assisting with conducting annual and other ad hoc training of all supported business segments.
- Responsible for assisting with responding to compliance-related audit examinations and regulatory requests involving all supported business segments.
What do you need to succeed
- 5 to 10 years of relevant experience
- Ability to work independently while also being able to work effectively in a team environment
- Non-traditional hours may be required schedule flexibility to provide coverage to various business lines.
- Ability to work under short deadlines and make quick and reasoned decisions
- Control Room experience and managing a team
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.
Leaders who support your development through coaching and managing opportunities
Ability to make a difference and lasting impact
Work in an agile collaborative progressive and high-performing team
The opportunity to interface with senior level executives from many different parts of the organization
Job Skills
Audits Compliance Capital Markets Conflicts of Interests Critical Thinking Decision Making Financial Regulation Industry Knowledge Information Barriers Interpersonal Relationship Management Product Services Risk Management Strategic ThinkingAdditional Job Details
Address:
City:
Country:
Work hours/week:
Employment Type:
Platform:
Job Type:
Pay Type:
Posted Date:
Application Deadline:
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.
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 .
Required Experience:
Director
Employment Type
Full-Time
