- Director, Capital Markets Controls for Operations (US)

RBC • Jersey City, NJ

13d • $200,000 - $250,000 • Onsite

About The Position

The Director, CM Controls for Operations manages the US Operations Risk & Controls Governance (RC&G) function within Capital Markets, with responsibility for direct reports in the US region. The role ensures operational risks are monitored and reported across business functions, supporting appropriate oversight and alignment with enterprise policies. It partners with Capital Markets leaders to drive alignment and standardization across processes, procedures, controls, management reporting, tools, and governance.

The Director leads implementation of a robust, efficient, and standardized control framework so risks are proactively identified, measured, monitored, communicated, and escalated. The role also leads and develops the US team, supports regulatory and audit activity, and promotes integrity and appropriate market conduct.

This is a permanent, full-time, salaried role requiring four days per week at the 30 Hudson Street office in Jersey City. The stated salary range is $200,000–$250,000, depending on experience, skills, registration status, market conditions, and business needs. The position may also be eligible for discretionary variable compensation.

Requirements

• Proven experience leading and managing risk and controls or operational risk governance functions in a regulated financial services environment, preferably with direct-report responsibility.
• Thorough understanding of key operational risks and Capital Markets products and business processes.
• Strong knowledge of control frameworks, risk assessment methodologies, and jurisdictional regulatory requirements.
• Demonstrated ability to drive standardization, process improvement, and automation initiatives across distributed teams and regions.
• Excellent leadership and people-management skills, with demonstrated ability to develop talent and drive performance.
• Strong communication and stakeholder-management capabilities across organizational levels and geographies.
• Demonstrated leadership, relationship-building, and team-building skills.
• Collaborative, solution-oriented approach and ability to operate independently and overcome potentially adversarial situations.

Nice To Haves

• Strong background in Capital Markets operations, such as payments, prime brokerage, trade settlements, or client life cycle.
• Familiarity with RBC risk and control governance frameworks and systems.
• Background in audit, compliance, or enterprise risk management.
• Experience implementing control automation tools and dashboards.
• Knowledge of US regulatory requirements and conduct rules.

Responsibilities

• Oversee governance of the control framework across US regions, including processes, risks, controls, issues, metrics, and reporting, to support proactive risk identification and monitoring.
• Participate in and support root cause analysis of audit findings, operational risk events, and control gaps; recommend mitigation strategies and improvements to control infrastructure.
• Coordinate operational risk events and incident management with central Capital Markets operational risk and control teams to support accurate capture and appropriate remediation.
• Establish and maintain control inventories by maintaining, extending, and rationalizing Capital Markets Operations key and non-key controls; facilitate standardized reviews of key risk areas through deep dives and continuous monitoring oversight.
• Lead and support control assurance programs, coordinating oversight to ensure deficiencies are identified, escalated, and remediated promptly in accordance with Internal Control Management Policy requirements.
• Collaborate with senior leadership, regional RC&G leads, and first-line-of-defense functions on operational risk and control initiatives, providing subject-matter expertise and independent challenge where needed.
• Establish lineage and heatmapping across policies, processes, risks, controls, and issues to connect enterprise frameworks.
• Facilitate governance forums and produce related reporting for regional risk forums, senior management, and regulatory bodies.
• Lead standardization and streamlining of RC&G control frameworks, using AI tools to identify automation and process-efficiency opportunities.
• Develop and oversee a culture of integrity and appropriate market conduct, escalating issues that could affect customer treatment or firm compliance.
• Partner on regulatory and compliance matters, audit requests, and reviews of dispensations as required.
• Lead, develop, and mentor US direct reports; establish clear reporting lines, responsibilities, and expected skills; build an empowered and productive team and manage performance.
• Review talent potential and succession planning, and ensure direct reports actively manage their objectives and goals.
• Ensure team members understand RBC’s vision, support behaviors aligned with RBC goals, and receive appropriate training and development.
• Communicate firm policies to the team, monitor adherence, and escalate indications of non-compliance to appropriate risk and control areas.

Benefits

• Comprehensive Total Rewards Program, including bonuses, flexible benefits, and competitive compensation.
• Leaders who support development through coaching and management opportunities.
• Opportunities to work with leading professionals in the field.
• Opportunity to make a difference and lasting impact.
• Work in a dynamic, collaborative, progressive, and high-performing team.
• World-class financial services training program.
• Potential to earn discretionary variable compensation, subject to business performance targets and individual goals.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: No Education Listed