Manager, Deal Management, Control Room

Job Description
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

Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Detail-Oriented, Financial Regulation, Industry Knowledge, Product Services, Risk Management, Strategic Thinking

Additional Job Details
Address:
RBC CENTRE, 155 WELLINGTON ST W:TORONTO

City:
Toronto

Country:
Canada

Work hours/week:
37.5

Employment Type:
Full time

Platform:
CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:
Regular

Pay Type:
Salaried

Posted Date:

Application Deadline:

Note
:
Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
I
*nclusion*
and Equal Opportunity Employment
At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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