Director, Control Room Compliance
Royal Bank of Canada • San Francisco, CA3d • $160,000 - $260,000 • Onsite
Director Jobs
10,000 jobs found — updated daily
Associate Director of Continuing Education
California Primary Care Association • Sacramento, CA3d • $89,382 - $94,639 • HybridBoard Certified Behavior Analyst (BCBA)
BlueSprig • The Woodlands, TX3d • $85,000 - $92,000 • HybridHospice Program Director
Continuum Hospice • San Jose, CA3d • $190,000 - $195,000 • OnsitePrincipal Scientist (Scientific Director Level)– Nonclinical Drug Safety
Merck • San Diego, CA3d • $176,200 - $277,300 • HybridSr Director, Chief of Staff
PayPal • New York, NY3d • $196,500 - $291,500 • HybridDirector of Technical Success
Broccoli AI3d • HybridLogistics Project Manager
MSD • Upper Gwynedd Township, PA3d • $142,400 - $224,100 • HybridDirector of Recruiting
Angels of Care Pediatric Home Health • Prosper, TX3d • OnsiteClinical Operations Compliance Director
Exelixis • Alameda, CA3d • $179,500 - $256,000 • OnsiteChief Nursing Officer
The Staff Pad • Manchester, TN3d • OnsiteProgram Manager - Executive Operations
M&T Bank • Buffalo, NY3d • $107,500 - $179,100 • OnsiteSenior Counsel/Director, Stablecoin Enablement
Mastercard • New York, NY3d • $212,000 - $340,000 • HybridSr. Director Product & Design - Corporate Functions
DICK'S Sporting Goods3d • $153,700 - $285,300Manager, Identity Management
Hancock Whitney • New Orleans, LA3dSterile Processing Technician
SIPS Healthcare • Chicago, IL3d • OnsiteBuildings Design Manager
Mott MacDonald • Los Angeles, CA3d • $250,000 - $300,000 • HybridSenior Director, M&A and BD&L
Bristol Myers Squibb • Princeton, NJ3d • $233,750 - $283,250Engineering & Product Development Manager
360 Recruiting Group • Waterbury, CT3d • $150,000 - $175,000 • OnsiteVoice Acquisition Director
Orange • Atlanta, GA3d • Hybrid
Director, Control Room Compliance
Royal Bank of Canada•San Francisco, CA
•$160,000 - $260,000•Onsite
About The Position
This role is responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Corporate Banking, etc.). It will maintain the firm's Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. Further, this role will review RBC's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and will cover Research and Investment Banking from an advisory perspective.
Requirements
- Bachelor's Degree
- 10 or more years of Control Room experience, or 12 or more years experience in broker dealer compliance
- Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).
- Ability to work under short deadlines and make quick and reasoned decisions
- Subject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations.
Nice To Haves
- Juris Doctor (JD)
- Ability to work independently while also being able to work effectively in a team environment
Responsibilities
- Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
- Restricted List: daily updating and monitoring of the Restricted List
- Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking
- Real-time Support
- Advise Research and Sales & Trading of restrictions and corresponding permissible activities
- Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
- Information Barriers Surveillance, Monitoring and Testing
- Risk Assessments and RCM
Benefits
- competitive compensation
- flexible benefits
- 401(k) program with company-matching contributions
- health, dental, vision, life, disability insurance
- paid-time off
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Upload and Match Resume
What This Job Offers
Job Type
Full-time
Career Level
Director
Job Search Resources
Build a Resume for Director
The resume builder that gets results.
- Get clear feedback so you look as qualified as you are
- Align your resume with the job to get further in the process, faster
- Take the guesswork out of resume writing
