# Control Room Specialist

**Company**: Royal Bank of Canada (RBC)
**Location**: San Francisco, California
**Experience**: senior
**Job type**: full-time
**Salary**: $160,000-$260,000 (San Francisco/New Jersey), $154,000-$253,000 (Los Angeles)
**Category**: Finance
**Industry**: Finance

**Apply**: https://rbc.wd3.myworkdayjobs.com/en-US/RBCGLOBAL1/job/San-Francisco-California-United-States-of-America/Director--Control-Room-Compliance_R-0000180726-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply
**Canonical**: https://yubhub.co/jobs/job_7216e4b7-f5f

## Description

This role maintains RBC's Information Barriers to prevent the misuse of material non-public information between public and private side areas of the firm.

Responsibilities:

- Review research notes/reports submitted to the Control Room for approval of content against Watch/Restricted Lists

- Update and monitor the Restricted List daily

- Update and review the Watch List daily – additions, deletions, and obtain updates from Investment Banking

- Provide real-time support

- Advise Research and Sales & Trading of restrictions and corresponding permissible activities

- Coordinate with Investment Banking regarding deal announcements

- Conduct Information Barriers Surveillance, Monitoring, and Testing

- Perform Risk Assessments and RCM

Requirements:

- Bachelor's Degree

- 10+ years of Control Room experience or 12+ years of experience in broker-dealer compliance

- Non-traditional hours may be required – schedule flexibility

- Ability to work under short deadlines and make quick and reasoned decisions

- Subject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations.

Nice to Have:

- Juris Doctor (JD)

- Ability to work independently and in a team environment

Benefits:

- Comprehensive Total Rewards Program including competitive compensation and flexible benefits

- 401(k) program with company-matching contributions

- Health, dental, vision, life, disability insurance, and paid-time off

- Leaders who support development through coaching and managing opportunities

- Opportunity to make a difference and lasting impact

- Work in a dynamic, collaborative, progressive, and high-performing team

Salary: $160,000-$260,000 (San Francisco/New Jersey), $154,000-$253,000 (Los Angeles)

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## Skills

### Required
- FINRA Rule 2241
- Regulation M
- Compliance
- Risk Management
- Critical Thinking
- Decision Making

### Nice to have
- Juris Doctor (JD)

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Source: [Apply at rbc.wd3.myworkdayjobs.com](https://rbc.wd3.myworkdayjobs.com/en-US/RBCGLOBAL1/job/San-Francisco-California-United-States-of-America/Director--Control-Room-Compliance_R-0000180726-1?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)