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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