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Global Head of Research Compliance

2 weeks ago

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

Job Summary

Job Description

What is the opportunity?

Senior role as a Compliance Advisor, overseeing research publication processes to ensure adherence to FINRA and SEC regulations. Provide strategic guidance to Research, Investment Banking, and other origination teams on Compliance matters. Lead the design and enhancement of controls governing interactions between Investment Banking and Research — including vetting procedures, chaperoned calls/meetings, and conflict management protocols — ensuring alignment with Research rules. Collaborate with regional Compliance teams and Legal counterparts to implement and standardize global policies on personal trading, conflicts of interest, and information barriers. Drive a global, streamlined approach to Research Compliance by enhancing systems and controls, establishing documentation standards, overseeing monitoring and testing processes, and developing comprehensive reporting and training programs.

What will you do?

Oversee and manage key elements of the RCM program related to the Research function, including:

  • Compliance Policies and Procedures: Design, implement, and administer compliance policies, procedures, and standards.
  • Training: Deliver training on regulatory requirements and compliance policies, contributing to the annual training plan in line with the CM Compliance Training Framework.
  • Monitoring Program: Develop and execute a monitoring program, providing input to Surveillance and CM Shared Services Compliance on Research-related surveillance, monitoring, and testing activities.
  • Regulatory Oversight: Provide second-line-of-defense (2LoD) oversight for regulatory changes, issues management, and compliance risk assessments.
  • Regulatory Advice: Offer senior-level regulatory guidance on Research matters, including conflicts of interest, research practices, and information barriers frameworks.
  • Stakeholder Management: Act as the primary relationship manager with senior business leaders and represent the Control Room on global management and oversight committees.

Projects and Escalation:

  • Lead global projects and initiatives as assigned.
  • Escalate issues to management with recommended actions and participate in cross-functional management forums.

Advisory and Real-Time Support:

  • Advise Research teams on restrictions and permissible activities.
  • Conduct annual and ad hoc training for all supported business segments.
  • Collaborate with the Research Monitoring function, serving as an escalation point for complex issues.
  • Guide the Control Room on escalations involving research notes/reports for securities law and policy considerations.
  • Work with regional Compliance and Legal teams to identify and manage conflicts of interest.

Audit and Regulatory:

  • Support responses to compliance-related audits, regulatory inquiries, and internal investigations for all supported business segments.
  • Assist with managing internal and external regulatory exams, reporting issues to the CCO and Senior Management.

What do you need to succeed?

Must-have

  • Bachelor's degree
  • 12-15 or more years of experience in financial services compliance
  • Familiarity with FINRA Rule 2241 and other relevant rules and regulations
  • Control room experience
  • Schedule flexibility – ability to work non-traditional hours
  • Ability to work equally effectively independently and in a team environment
  • Ability work under short deadlines and make quick and reasoned decisions

Nice-to-have

  • FINRA Series 7
  • Juris Doctor

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
  • 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.

The expected salary range for this particular position is $160,000-250,000, depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:

  • Drives RBC's high-performance culture
  • Enables collective achievement of our strategic goals
  • Generates sustainable shareholder returns and above market shareholder value

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2025-03-18

Application Deadline:

2025-03-26

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

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.
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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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