Associate Director, Commodities and Futures Compliance
Top Benefits
About the role
Job Description
What is the opportunity?
Responsible for providing regulatory guidance, oversight, and effective challenge to RBC Capital Markets, LLC’s US Macro sales & trading personnel and supporting functions. Knowledge of Futures, Commodities, Rates, and/or FX products is necessary for the candidate provide high-quality, real-time advisory services to all covered businesses. Also responsible for assisting with identifying and mitigating key risks when engaged on regulatory and business-driven initiatives.
What will you do?
- Advise business personnel on Firm policies and regulatory matters with a particular focus on Futures, Commodities, Rates, and/or FX .
- Support activities of RBC’s Global Macro business units, with emphasis on the FCM.
- Work closely with personnel within the Global Macro business units (Sales & Trading) as well as First Line Supervision, Technology, BCS, Legal, Finance, and other Compliance staff.
- Deal with highly complex issues, projects, and processes.
- Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.
- Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.
- Conduct periodic and annual risk assessments of key regulatory themes to benchmark the Macro risk profile against other regions and the enterprise.
- Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.
- Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).
- Investigate and assist with responses to regulatory inquiries and examinations.
- Be part of a global collaborative enterprise compliance function.
What do you need to succeed?
- Bachelor's Degree
- 2 years of capital markets desk advisory experience
- 5-7 or more years of experience in compliance, consulting, operational risk, or financial services
- Series 3
Nice to Have
- Master's or JD Degree
- Any FINRA Registrations (Series 7, 57, 4, 24, etc.)
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
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORK
City:
New York
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-29
Application Deadline:
2025-10-31
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, Commodities and Futures Compliance
Top Benefits
About the role
Job Description
What is the opportunity?
Responsible for providing regulatory guidance, oversight, and effective challenge to RBC Capital Markets, LLC’s US Macro sales & trading personnel and supporting functions. Knowledge of Futures, Commodities, Rates, and/or FX products is necessary for the candidate provide high-quality, real-time advisory services to all covered businesses. Also responsible for assisting with identifying and mitigating key risks when engaged on regulatory and business-driven initiatives.
What will you do?
- Advise business personnel on Firm policies and regulatory matters with a particular focus on Futures, Commodities, Rates, and/or FX .
- Support activities of RBC’s Global Macro business units, with emphasis on the FCM.
- Work closely with personnel within the Global Macro business units (Sales & Trading) as well as First Line Supervision, Technology, BCS, Legal, Finance, and other Compliance staff.
- Deal with highly complex issues, projects, and processes.
- Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.
- Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.
- Conduct periodic and annual risk assessments of key regulatory themes to benchmark the Macro risk profile against other regions and the enterprise.
- Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.
- Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).
- Investigate and assist with responses to regulatory inquiries and examinations.
- Be part of a global collaborative enterprise compliance function.
What do you need to succeed?
- Bachelor's Degree
- 2 years of capital markets desk advisory experience
- 5-7 or more years of experience in compliance, consulting, operational risk, or financial services
- Series 3
Nice to Have
- Master's or JD Degree
- Any FINRA Registrations (Series 7, 57, 4, 24, etc.)
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
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORK
City:
New York
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2025-09-29
Application Deadline:
2025-10-31
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.