Associate Director - US Control Room

Associate Director, US Control Room, RBC Capital Markets, LLC, Jersey City, NJ:

Maintain information barriers to restrict the improper flow of information and prevent the misuse of material non-public information by the public and private side areas of the firm. Maintain Watch and Restricted lists by implementing restrictions pursuant to securities laws and policies and procedures. Review research prior to publication to ensure it adheres to FINRA and SEC rule requirements. Review research notes and reports submitted to the Control Room by Supervisory Analysts against the Watch and Restricted lists. Update and monitor Watch and Restricted List. Perform pre-clearance of employee trades. Coordinate with investment banking regarding deal announcements and advise on questions regarding the Watch and Restricted lists. Provide real-time support to various cross functional teams. Advise Research and Sales & Trading teams of restrictions and corresponding permissible activities.

Telecommuting: Permitted up to 2 days per work week.

Full time employment, Monday - Friday, 40 hours per week, $149,450.00 per year.

MINIMUM REQUIREMENTS:

Bachelor's degree or foreign equivalent in legal studies, criminology, or a related field and 2 years of work experience.

Must have 2 years experience in:

• Global Control Room;
• MyCompliance Office;
• GIB Conflicts Portal;
• Stealth Audit;
• CCMS;
• GSAS;
• Sharepoint;
• Discovery Accelerator;
• Employee Trading including investigation/enforcement, policy review and advisory; and,
• Monitoring and testing, demonstrating the ability to interpret internal policies and procedures.

Telecommuting permitted up to 2 days per work week.

Travel: Domestic and International Travel up to 5%.

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