Compliance Analyst (6 month contract)
Compliance Analyst (6 month contract)
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Job Description
Job Summary
Job Description
What is the opportunity
As Compliance Analyst you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers personal trading and conflicts of interest. You will conduct monitoring and testing as assigned identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.
*This is a 6 month contract role*
What will you do
- Administer the Capital Markets and Enterprise Personal Trading Policy by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows other trading restrictions required to pre-clear required to bring personal and related person accounts to approved dealer) and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment
- Conduct daily reviews of employee disclosures and perform initial outreach to employees to address gaps or clarify information
- Conduct regular reviews of employee trade statements to ensure compliance with firm policies including follow-ups for accounts held externally
- Serve as main point of contact for Monitored Employees regarding disclosure requirements and policy interpretation
- Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
- Assist with the maintenance of MyComplianceOffice (MCO) data on employee profiles
- Handle the compliance phone line triaging and responding to inquiries or escalating matters as appropriate
What do you need to succeed
Must have
- University degree or equivalent education
- 2 years of experience in the financial services industry
- Demonstrated knowledge of applicable regulatory and internal policy requirements and all others as applicable
- Ability to work and flourish in a fast-paced environment
- University degree or equivalent education
- Ability to work independently managing various high priorities
Nice to have
- Securities industry related courses and qualifications are a key asset
Job Skills
Audits Compliance Critical Thinking Data Gathering Analysis Decision Making Industry Knowledge Internal Controls Interpersonal Relationship Management Product Services Risk Management 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:
IC
Employment Type
Full-Time
