Employee Disclosure Associate

3 weeks ago

Jersey City, New Jersey, United States Royal Bank of Canada Full time

Come Work with Us

At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

Job Title

Employee Disclosure Associate

Job Description

  • Maintaining and revising policies and procedures for the general operation of the compliance program and its related activities.
  • Reporting on the results of compliance and ethics initiatives of the business unit.
  • Implementing corrective action plans for resolution of problematic issues, and providing general guidance on how to avoid or deal with similar situations in the future.
  • Conducting investigative procedures in response to violations of rules, regulations, policies, and procedures.

Job Summary

Administer and oversee compliance with Firm policy and SEC and FINRA rules and regulations with respect to Employee Disclosures including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments. Ensure that Compliance oversight process is aligned with business strategies, operations and procedures. Identify opportunities to improve efficiency and streamline processes, gaps and weaknesses and escalate as necessary to management.

Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.

Address:

Jersey City, New Jersey, United States of America

City:

USA-NJ-JERSEY CITY

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

Group Risk Management

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

:00

Application Deadline:

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
​​​​​​​
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

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