Associate Director, US Control Room
Top Benefits
About the role
What is the opportunity?
This role is responsible for maintaining the firm's 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). It will maintain the firm's Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. This role will review RBC's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and it will advise Research, Investment Banking, and various original groups.
What will you do?
- Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
- Restricted List: daily updating and monitoring of the Restricted List
- Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking
- Real-time Support:
- Advise Research and Sales & Trading of restrictions and corresponding permissible activities
- Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
- Information Barriers Surveillance
- Perform pre-clearance of employee trades as required
What do you need to succeed?
- Bachelor's Degree
- 4-7 or more years of Control Room experience, or 5-7 or more years experience in broker dealer compliance
- Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).
- Ability to work under short deadlines and make quick and reasoned decisions
- Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations
Nice to Have
- Juris Doctor (JD)
- Ability to work independently while also being able to work effectively in a team environment
What’s 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 $110,000-$190,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s 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.
RBC’s 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 RBC’s high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
Associate Director, US Control Room
Top Benefits
About the role
What is the opportunity?
This role is responsible for maintaining the firm's 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). It will maintain the firm's Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. This role will review RBC's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and it will advise Research, Investment Banking, and various original groups.
What will you do?
- Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
- Restricted List: daily updating and monitoring of the Restricted List
- Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking
- Real-time Support:
- Advise Research and Sales & Trading of restrictions and corresponding permissible activities
- Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
- Information Barriers Surveillance
- Perform pre-clearance of employee trades as required
What do you need to succeed?
- Bachelor's Degree
- 4-7 or more years of Control Room experience, or 5-7 or more years experience in broker dealer compliance
- Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).
- Ability to work under short deadlines and make quick and reasoned decisions
- Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations
Nice to Have
- Juris Doctor (JD)
- Ability to work independently while also being able to work effectively in a team environment
What’s 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 $110,000-$190,000, depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC’s 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.
RBC’s 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 RBC’s high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.