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Job Description
What is the opportunity?
As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.
What will you do?
- Administer the Capital Markets and Enterprise Personal Trading Policy, by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows, other trading restrictions, required to pre-clear, required to bring personal and related person accounts to approved dealer), and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment
- Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading, outside business activities and private investments and ensure that appropriate records are maintained
- Serve as main point of contact on Business Unit Coordinator and employee enquiries regarding personal trading
- Pre-clear employee trades
- Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
- Assist with surveillance of personal trading as applicable under Control Room policies and procedure
- Recommend process and design enhancements within responsibilities, including leveraging new technology whenever possible
- Providing back up support for other employees within Compliance.
- Deal with IT issues regarding the control room technology system (e.g. functionality of a page, identify enhancements required, etc.)
- Field questions from RBC and RBCCM employees and unit coordinators, and assist with the maintenance of CREM data on employee profiles
What do you need to succeed?
Must-have
- 2+ years of experience in the financial services industry
- Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable
- Ability to work and flourish in a fast-paced environment
- University degree or equivalent education
- Ability to work independently, managing various high priorities
Nice-to-have
- Securities industry related courses and qualifications are a key asset
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
- Ability to make a difference and lasting impact
- Flexible work/life balance options
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
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