Associate Director, US Global Equities Compliance

What is the opportunity?

Responsible for providing regulatory guidance, oversight, and effective challenge to RBC Capital Markets, LLC’s US equity and equity derivatives sales & trading personnel and supporting functions. Working knowledge of cash equities and over-the-counter (“OTC”) equity derivatives products will help the candidate provide high-quality, real-time advisory services to all covered businesses. Also responsible for assisting with identifying and mitigating key risks when engaged on regulatory and business-driven initiatives.

What will you do?

• Advise business personnel on Firm policies and regulatory matters with a particular focus on cash equities and OTC equity derivatives.
• Support all US activities of RBC’s Global Equities business units.
• Work closely with personnel within the Global Equities business units (Sales & Trading) as well as First Line Supervision, Technology, Operations, Legal, Finance, and other Compliance staff.
• Deal with highly complex issues, projects, and processes.
• Develop and implement policies, procedures and controls which successfully mitigate key regulatory risk factors for all covered business lines.
• Proactively identify issues impacting coverage areas through participation in business, industry and regulatory initiatives.
• Conduct periodic and annual risk assessments of key regulatory themes to benchmark US Global Equities’ risk profile against other regions and the enterprise.
• Assist with the development of surveillances and controls reasonably designed to detect and mitigate compliance issues.
• Assist with the resolution of issues identified from Compliance Surveillance and other oversight functions (i.e., Internal Audit).
• Investigate and assist with responses to regulatory inquiries and examinations.
• Be part of a global collaborative enterprise compliance function.

What do you need to succeed?

• Bachelor's degree
• 7 or more years of overall work experience
• 2 years of experience in capital markets desk advisory
• 2 years or more of experience in compliance, consulting, operational, IT systems security, business process management or financial services

Nice to have:

• Master's or Law degree
• Any FINRA registrations (Series 7, 57, 4, 24, etc.)
• Ability to determine regulatory requirements for various business initiatives.
• Ability to determine whether there are regulatory issues/gaps with current processes
• Experience managing medium to large projects across various teams.

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
• 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.
• Opportunities to do challenging work.
• Opportunities to build close relationships with clients.

The expected salary range for this particular position is $110,000-$190,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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

Job Skills

Advisory Services, Communication, Compliance Services, Critical Thinking, Decision Making, Equities, Equity Derivatives, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Prioritization, Regulatory Issues, Risk Management, Strategic Thinking, Teamwork

Additional Job Details

BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORK New York United States of America 40 Full time CHIEF LEGAL & ADMIN OFFICE GRP Regular Salaried 2025-04-09 2025-04-30

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.