Research Compliance Specialist
2 days ago
The Royal Bank of Canada is seeking a highly skilled Research Compliance Specialist to oversee the firm's Information Barriers and ensure compliance with regulatory requirements. This role is critical in maintaining the integrity of our research processes and preventing the misuse of material non-public information.
What You Will Do:
- Perform oversight over controls relating to interaction with Research, including vetted calls process and chaperoning meetings between Investment Banking and Research
- Escalate issues as they arise to management with recommended actions and participate in management forums across first and second lines
- Monitor the Firm's Watch and Restricted Lists and review the Firm's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements
Oversight Responsibilities:
- Design, implement, and administer global compliance policies, procedures, and standards
- Develop and execute a global monitoring program executed within the Control Room
- Provide input to Surveillance and CM Shared Services Compliance on Control Room related monitoring
- Oversee 2LoD activities relating to regulatory change, issues management, and compliance risk assessments
Requirements and Qualifications:
- 2+ years of experience in financial services, preferably in compliance or a related field
- Ability to work independently while also being able to work effectively in a team environment
- Non-traditional hours may be required – schedule flexibility to provide coverage to various business lines through 9 PM PST 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
Benefits:
- A comprehensive Total Rewards Program, including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Opportunity to make a difference and lasting impact in the organization
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work and build close relationships with clients
About Us:
We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We strive to provide an accessible candidate experience for prospective employees with different abilities.
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