Associate Director, Employee Dealings, Control Room
2 weeks ago
Job Description What is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to the Research Department, including review and approval of research reports. You will also act as a Compliance Advisor for all private-side business units within RBC Capital Markets (Canada) and other businesses whose employees and/or trading are monitored by the Canadian Control Room. What will you do? Day-to-day surveillance of employee, client and firm trading and communications to identify trading based on inside information Maintain a database of employees with their proper monitoring classification for both Capital Markets and RBC-Enterprise Administer Business Supervisory Reports with respect to personal trading and violations of applicable policies Daily management of the capital markets employee conflict of interest monitoring program, including review and approval of private investments and outside business activities Monitoring, conducting impact analyses and communicating relevant regulatory developments and industry enforcement actions on a timely basis Representing Compliance on internal committees to ensure that all regulatory compliance and reputational issues and concerns are identified and resolved What do you need to succeed? Must have University degree or equivalent education 5+ years of Compliance experience including conducting compliance and trade surveillance and reviews Knowledge of trading and the Canadian capital markets Nice to have Securities industry related courses and qualifications What’s in it for you? We thrive on the challenge to be our best, thinking progressively 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 Leaders who support your development through coaching and managing opportunities Ability to make a difference and lasting impact Work in an agile, collaborative, progressive, and high-performing team Location RBC CENTRE, 155 WELLINGTON ST W, TORONTO, Canada Legal At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth. Maintaining a workplace where our employees feel supported to perform at their best and effectively collaborate helps 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. #J-18808-Ljbffr
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Toronto, Canada RBC Full timeAssociate Director, Employee Dealings, Control Room (Compliance) Join to apply for the Associate Director, Employee Dealings, Control Room (Compliance) role at RBC. What is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and...
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Toronto, Canada RBC Full timeAssociate Director, Employee Dealings, Control Room (Compliance) Join to apply for the Associate Director, Employee Dealings, Control Room (Compliance) role at RBC. What is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and...
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Toronto, Canada RBC Full timeAssociate Director, Deal Management, Canadian Control Room As Associate Director, you are responsible and act as a key Relationship Manager and Compliance advisor for all private‑side business units within RBC Capital Markets (Canada) and eventual conflicts from Global Research. You assist with conflict identification process for the global Corporate and...
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Toronto, Canada RBC Full timeJob Description What is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to the...
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TORONTO, Canada Royal Bank of Canada Full timeJob Description What is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to...
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Toronto, Canada Royal Bank of Canada> Full timeJob DescriptionWhat is the opportunity? As Associate Director, you will be responsible for managing aspects of the monitoring and testing within the Canadian Control Room and updates to related policies and procedures, including the RBC Capital Markets Personal Trading and Enterprise Personal Trading Policies. You will be a key relationship manager to the...
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Toronto, Canada RBC Full timeJob Description What is the opportunity? As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and Investment...
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Toronto, Canada RBC Full timeJob Description What is the opportunity? As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and Investment...
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TORONTO, Canada Royal Bank of Canada Full timeJob Description What is the opportunity? As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and...
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Toronto, Canada Royal Bank of Canada> Full timeJob DescriptionWhat is the opportunity? As Associate Director, you will be a key Relationship Manager and Compliance advisor for all private-side business units within RBC Capital Markets (Canada) and escalation of conflicts arising from Global Research. As well, you will assist with conflict identification process for the global Corporate and Investment...
