Global Markets Supervision Supervision Associate

Job Summary

Researches and analyzes financial information to be used in making investment decisions. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments.

Job Description

What is the Opportunity?

What will you do?

• Responsible for regulatory supervisory and trade surveillance program of USGM.
• Part of a team that provides sign-off on a variety of items on behalf senior management of USGM, including representations to regulators as required and internal supervisory documents.
• Ensure timely completion of management action plans from risk assessment, internal audit and regulatory reviews.
• Provide real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory laws, rules and procedures as well as all applicable Firm policies and procedures.
• Accountable for providing senior leaders, as well as FICC professionals within each asset class, appropriate levels of insight to ensure awareness of key risks and proper understanding of the rules, regulations and policies
• Work closely with IT and Front Office to leverage expertise and technology where possible, in an effort to automate and reduce inefficiencies related to Supervisory reviews, including enhancements to Supervisory Checklists, Dashboards and Management Reporting
• Stay apprised of and alert the relevant business areas of regulatory rule changes or Firm policy changes.
• Take the lead on special projects as required by senior management.
• Proactively identify operational risk/control deficiencies in the business and assist in developing solutions / mitigating controls
• Escalate operational risk events, control deficiencies and risks that you identify to your line manager and the relevant risk and control functions promptly

What do you need to succeed?

• BA, MA or equivalent with an understanding of Capital Markets
• Series 7, 63, 24 – must obtain upon joining
• Strong written and oral communication skills
• Excellent organizational skills and ability to multi-task
• Ability to work in a fast paced environment and effectively prioritize

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 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 building close relationships with clients

The good-faith expected salary range for the above position is $105,000- $155,000 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

Job Skills

Adaptability, Critical Thinking, Customer Service, Detail-Oriented, Financial Engineering, Financial Statement Analysis, Investments Analysis, Personal Development, Taking Initiative, Teamwork

Additional Job Details

Address:

BROOKFIELD PLACE FKA 3 WORLD FINANCIAL CENTER, 200 VESEY STREET:NEW YORK

City:

New York

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

Capital Markets

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-07-12

Application Deadline:

Inclusion and