Associate, Global Markets, Global Equities Supervisor

RBC•New York, NY

2d•Onsite

About The Position

Responsible for the regulatory supervisory and trade surveillance program of USGM. This role involves providing sign-off on various items on behalf of senior management of USGM, including representations to regulators and internal supervisory documents. The position ensures timely completion of management action plans stemming from risk assessments, internal audits, and regulatory reviews. Key responsibilities include training desk personnel, communicating Firm policies and procedures, leading special projects, disseminating and ensuring compliance with Standing Orders, and providing real-time corrective actions for trading anomalies. The role also supports USGM's expansion into new products and business lines, stays informed about regulatory and policy changes, and collaborates with the Supervision and Business Management teams on Volcker-related requirements.

Requirements

BA, MA or equivalent with an understanding of Capital Markets
Minimum 2 years industry experience
Knowledge of the US regulatory environment
Series 7, 63, 57, 24 – must obtain upon joining
Strong written and oral communication skills
Ability to work in a fast paced environment

Responsibilities

Responsible for regulatory supervisory and trade surveillance program of USGM.
Provide sign-off on a variety of items on behalf senior management of USGM, including representations to regulators as required and internal supervisory documents.
Ensure timely completion of management action plans from risk assessment, internal audit and regulatory reviews.
Responsible for training of desk personnel and the proper communication of Firm policies and procedures.
Take the lead on special projects as required by senior management.
Disseminate new and existing Standing Orders and ensure they are communicated and followed accordingly.
Provide real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory laws, rules and procedures as well as all applicable Firm policies and procedures.
Support the USGM on expansion efforts into new products and business lines.
Stay apprised of and alert the relevant business areas of regulatory rule changes or Firm policy changes.
Work with Supervision team and Business Management teams within USGM to co-ordinate Volcker related requirements.

Benefits

bonuses
flexible benefits
competitive compensation
commissions
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
Opportunities to do challenging work
Opportunities to building close relationships with clients
401(k) program with company-matching contributions
health, dental, vision, life and disability insurance
paid time-off plan