Royal Bank of Canada·13 days ago
13 days ago
Director, Control Room Compliance
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What you'll do
- Oversee the firm's Information Barriers, ensuring compliance with securities laws and firm policies
- Review research content
- Maintain Watch and Restricted lists
- Advise on restrictions
What they're looking for
- Extensive broker dealer compliance experience
- Strong subject matter expertise
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Join us as Director, Control Room Compliance to oversee the firm's Information Barriers, ensuring compliance with securities laws and firm policies. You will review research content, maintain Watch and Restricted lists, and advise on restrictions. Ideal candidates bring extensive broker dealer compliance experience and strong subject matter expertise.
Skills
- finra rule 2241
- regulation m
- control room compliance
- broker dealer compliance
- watch list management
- restricted list management
- risk assessment
- regulatory monitoring
- financial regulation
- securities law compliance
- real-time support
- cmr
- research review
- decision making
- critical thinking
- data gathering analysis
- industry knowledge
- interpersonal relationship management
- strategic thinking
- product services
Company
Royal Bank of Canada
San Francisco, United States of America
Company facts come from this company's own listings. We only show what the postings themselves carry.