Compliance Program Strategy and Support Associate Director

4 days ago


Jersey City, New Jersey, United States RBC Capital Markets, LLC Full time

Job Summary

This role directly supports the Head of U.S. Compliance Governance with primary emphasis on strategic planning for the U.S. Compliance function and exam / audit support for U.S. Compliance Practices Group.

Key Responsibilities

  • Design and develop the U.S. Compliance strategy and Annual Compliance Plan, including entity-specific processes where needed, and report on the status and success of initiatives.
  • Lead and support initiatives for the U.S. Compliance Practices Group to enhance its effectiveness, including defining the engagement model between enterprise and compliance advisory teams and establishing and optimizing communication plans for key Practices outputs.
  • Support regulatory inquiries, ongoing supervision, and exams, as well as audit or other reviews external to the team.
  • Act as a secondary point of contact for Compliance Governance.
  • Lead and execute ad hoc initiatives and projects for the group.
  • Participate in external trade groups and other forums to stay on top of industry developments and trends with respect to compliance governance and strategic planning.

Requirements

  • 7+ years' experience in the financial services industry in Compliance, Legal Department, or at a financial institutions regulator.
  • Working experience in a compliance organization as part of a GSIB (CUSO model).
  • Knowledge of FINRA, SEC, MSRB, FRBNY, OCC, and CFPB rules and regulations and expectations.
  • Experience working and interfacing with regulators and audit partners.
  • Experience with operating in a highly matrixed environment.
  • Proficient in MS Office tools.
  • College degree preferred.

What We Offer

  • A comprehensive Total Rewards Program, including bonuses and flexible benefits, competitive compensation, commissions, and 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 build close relationships with clients.

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