Compliance Associate, Employee Disclosures

WHAT IS THE OPPORTUNITY?

The Compliance Associate will review a variety of broker/dealer employee compliance requests to ensure that they are in compliance with company policy. These requests include compliance items such as: notification of a new outside business activity; request to purchase securities in a personal account; requests to provide gifts and/or entertainment to clients; and other FINRA required disclosures.

WHAT WILL YOU DO?

• The Compliance Associate will be responsible for identifying potential policy violations and escalating them appropriately.
• The Compliance Associate may participate in resulting investigations and reporting.
• Review new and updated employee disclosures for conformance to company policy
• Escalate potential policy violations to management
• Provide reporting and update procedures as necessary
• Maintain updates to compliance policies, procedures, and training for new or revised laws and regulations.
• Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes.
• Create, maintain and update reporting of compliance test results along with comparable line of business QA testing results.
• Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs and other tracking reports as deemed necessary.
• Perform compliance reviews on specific accounts, as required.
• Comply fully with all Compliance policies and procedures as well as all regulatory requirements.
• Provide guidance on regulations, requirements, and procedures.
• Conduct and document reviews and addressing findings with employees and supervisors.
• Draft and maintain employee training for assigned topic areas.
• Analyze compliance risk; determine if current processes control risk.
• Complete all required training.
• Provide support on other duties and special projects as assigned.

WHAT DO YOU NEED TO SUCCEED?

Must have:

• Bachelor's degree
• Preferred years of experience (3-8 years) in a compliance or related function
• Detailed understanding of compliance issues facing Broker-Dealers
• Ability to multi-task
• Extremely organized and detailed oriented
• Team player
• Strong written and verbal communication skills
• Creative thinker

Nice-to-have:

• Understanding of applicable rules and regulations regarding employee disclosures
• Experience with Compliance tools and systems such as MCO

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, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• A world-class training program in financial services
• Flexible work/life balance options
• Opportunities to do challenging work

The good-faith expected salary range for the above position is $80,000-$135,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

* Drives RBC's high performance culture

* Enables collective achievement of our strategic goals

* Generates sustainable shareholder returns and above market shareholder value

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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion 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.