Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY

RBC•New York, NY

16d•$153,750•Hybrid

About The Position

Advisory Compliance Officer, RBC Capital Markets LLC, New York, NY: The Advisory Compliance Officer will provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border (e.g. Canadian) regulations. The Advisory Compliance Officer provide compliance oversight to (1) the Macro and Spread businesses trading equity products and (2) the U.S. Capital Markets Gifts and Entertainment (“G&E”) Program. Develop and deliver trainings sessions on business and regulatory matters and develop and maintain policies and procedures to comply with regulatory requirements. Assist with internal audits and external exams and inquiries and assist in development and enhancing surveillance reviews. Review new product and business initiatives for potential compliance and regulatory risks. Promote adherence to relevant legal and regulatory requirements regarding political contributions, as well as federal, state and local limits and requirements. Provide guidance to employees regarding the disclosure requirements applicable to interactions with government entities and/or officials. Coordinate certifications for MSRB G-37 filings. Monitor, evaluate, and approve G&E to government/foreign officials. Telecommuting permitted up to 1 day per week. #LI-DNI

Requirements

Must have a Bachelor’s degree in Business, Business Administration, Finance or a related field and 4 years of related work experience.
Must have 3 years of experience in: Both U.S. and Canadian capital markets regulatory requirements, including OSC National Instruments, CFTC Regulations, and SEC Regulations.
Compliance risk assessments.
Execution of cross-asset strategic compliance initiatives.
Presentation of key risk indicators and other trend analysis to senior management.
Implementing compliance monitoring programs to detect breaches of internal policies and adherence to global regulatory requirements, including the design, documentation, and escalation of findings related to such monitoring.
Developing notices to communicate markets regulatory compliance requirements and changes to cross-asset audiences.
Development of cross-asset training plans and delivery of markets regulatory compliance training.
Must have 1 year of experience in: An advisory or compliance role supporting a capital markets sales and trading business.
A compliance role supporting global policy development or an equivalent core compliance program.
Implementation of the FX and Precious Metals Code.
15a-6 regulatory requirements and processes.
Equities markets and equities regulation.

Responsibilities

Provide key compliance guidance, support, and oversight to the Rates, Futures, Commodities, and FX business lines within the Capital Markets Macro business in support of US and cross border (e.g. Canadian) regulations.
Provide compliance oversight to (1) the Macro and Spread businesses trading equity products and (2) the U.S. Capital Markets Gifts and Entertainment (“G&E”) Program.
Develop and deliver trainings sessions on business and regulatory matters and develop and maintain policies and procedures to comply with regulatory requirements.
Assist with internal audits and external exams and inquiries and assist in development and enhancing surveillance reviews.
Review new product and business initiatives for potential compliance and regulatory risks.
Promote adherence to relevant legal and regulatory requirements regarding political contributions, as well as federal, state and local limits and requirements.
Provide guidance to employees regarding the disclosure requirements applicable to interactions with government entities and/or officials.
Coordinate certifications for MSRB G-37 filings.
Monitor, evaluate, and approve G&E to government/foreign officials.