E-Communication Surveillance Analyst, Associate Director
 RBC Capital Markets, LLC | |
401(k)
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 United States, New Jersey, Jersey City | |
| 30 Hudson Street (Show on map) | |
 Nov 13, 2024 | |
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Job Summary Job Description What is the opportunity? The US Capital Markets Electronic Communication Surveillance Group ("ECSG") is responsible for conducting surveillance of electronic communications pursuant to FINRA Rule 3110. Members of the ECSG will be expected to (i) provide surveillance coverage to relevant business units in line with industry best practices; (ii) provide top-tier support to the business lines serviced; (iii) mitigate risk for RBC by detecting and escalating compliance issues; (iv) cross train amongst the team for redundant coverage; and (v) seek efficiencies and both strategic and tactical improvements to the surveillance program. What will you do? Conduct routine review of electronic communications to ensure compliance with company policies and application regulations (i.e. FINRA, SEC). Perform targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel; Interpret and investigate substantive findings for context and potential impact to the organization. What do you need to succeed? Track the escalation and resolution of items that may present concerns and raise to appropriate stakeholders. Conduct special projects as assigned by management including the escalation and resolution of potential gap assessments and identified issues. Develop management information reports that identify key risks and trends for the business segments covered by surveillance. Ongoing assessment of surveillance efficiency and reporting to management and UAT testing as required. Assist management in identifying gaps and weaknesses in existing processes, work with Governance and Calibration teams to develop solutions, and determine system requirements and parameters. Provide guidance where appropriate to the E-Communication Surveillance team relating to team processes and responsibilities. Provide assistance to successfully onboard and conduct peer surveillance reviews for any employees that support the US business segments. Must have: Bachelor's degree or Equivalent Nice to have:
The good-faith expected salary range for the above position is $110-190K depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan. 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 #LI-Post #LI-Hybrid Job Skills Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Regulatory Compliance, Strategic Thinking, SurveillanceAdditional Job Details Address: City: Country: Work hours/week: Employment Type: Platform: Job Type: Pay Type: Posted Date: Application Deadline: 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. Join our Talent Community | |