Manager, Deal Management, Control Room
Top Benefits
About the role
What is your opportunity?
As part of the Control Room (Canada) team, you will contribute to 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).
What will you do?
- Maintain Restricted List: Daily updating and monitoring of the Restricted List
- Maintain Watch List: Daily updating and review of the Watch List, including additions, deletions and obtaining updates from Investment Banking
- Information Barriers Surveillance, including e-communications
- Provide back-up support for other employees with the Canadian Control Room, including performing pre-clearance of employee trades.
- Assist with conducting annual and other ad hoc training of all supported business segments.
- Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
- Assist with monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc.
- Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
- 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
- Providing advice on policy matters
- Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
What do you need to succeed?
- University degree
- Experience in the securities regulatory environment. Compliance Control Room experience preferred.
- Ability to work independently, while also being able to work effectively in team.
- Schedule flexibility in order to provide coverage to various business lines through non-traditional weekday hours and weekends (as needed).
- Ability to work under tight deadlines, paired with strong critical thinking and decision-making skills.
- Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.
Nice To Have:
- Securities industry related courses and qualifications (ie. CSC, CPH, TTC, etc.) preferred.
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 including bonuses and flexible benefits and competitive compensation
- Leaders who support your development through coaching and managing opportunities
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
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.
Manager, Deal Management, Control Room
Top Benefits
About the role
What is your opportunity?
As part of the Control Room (Canada) team, you will contribute to 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).
What will you do?
- Maintain Restricted List: Daily updating and monitoring of the Restricted List
- Maintain Watch List: Daily updating and review of the Watch List, including additions, deletions and obtaining updates from Investment Banking
- Information Barriers Surveillance, including e-communications
- Provide back-up support for other employees with the Canadian Control Room, including performing pre-clearance of employee trades.
- Assist with conducting annual and other ad hoc training of all supported business segments.
- Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
- Assist with monitoring industry and regulatory developments relating to insider trading, tipping, UMIR 7.7, conflicts of interest, etc.
- Collaborate with regional Compliance colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers.
- 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
- Providing advice on policy matters
- Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
What do you need to succeed?
- University degree
- Experience in the securities regulatory environment. Compliance Control Room experience preferred.
- Ability to work independently, while also being able to work effectively in team.
- Schedule flexibility in order to provide coverage to various business lines through non-traditional weekday hours and weekends (as needed).
- Ability to work under tight deadlines, paired with strong critical thinking and decision-making skills.
- Experience conducting Compliance surveillance reviews and/or developing and implementing Compliance policies and procedures.
Nice To Have:
- Securities industry related courses and qualifications (ie. CSC, CPH, TTC, etc.) preferred.
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 including bonuses and flexible benefits and competitive compensation
- Leaders who support your development through coaching and managing opportunities
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
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.