Associate, Global Markets Supervisor

What is the opportunity?

Associate, Global Markets Supervisor

What will you do?

• Responsible for regulatory supervisory and trade surveillance program of US Global Markets (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.

• Responsible for training of desk personnel and the proper communication of Firm policies and procedures.

• Take the lead on special projects as required by senior management.

• Disseminate new and existing Standing Orders and ensure they are communicated and followed accordingly.

• 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.

• Support the USGM on expansion efforts into new products and business lines.  

• Stay apprised of and alert the relevant business areas of regulatory rule changes or Firm policy changes.

• Work with Supervision team and Business Management teams within USGM to co-ordinate Volcker related requirements.

What do you need to succeed?

• BA, MA or equivalent with an understanding of Capital Markets

• Minimum 3 years industry experience

• Knowledge of the US regulatory environment

• SIE, Series 7, 24 (must obtain upon joining)

• Series 57, 63 a plus

• Strong written and oral communication skills

• Ability to work in a fast paced environment

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 $165,000-$200,000 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, Personal Initiative, Teamwork

Additional Job Details

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