Supervisory Framework Support Responsible for supporting the Supervisory Framework of US Global Markets to achieve best in class supervisory oversight processes and a robust control framework. Develop business and product expertise with a focus on fixed income asset classes to build and strengthen relationships with the sales and trading teams and Senior Management. Responsible for performing reviews of trading activity and other business activities as a delegate for the US Fixed Income Business Heads to identify potential policy violations, conflicts of interest, or regulatory concerns. 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. Maintain Front Office desk procedures and Written Supervisory Procedures on behalf of Global Markets Desk and Business Heads. Accountable for providing senior leaders, as well as fixed income professionals within each asset class, appropriate levels of insight to ensure awareness of key risks and proper understanding of the rules, regulations and policies. Provide targeted training to front office sales and trading employees and Supervisors on general supervisory topics or specific regulatory rules, as needed. Identify opportunities to enhance supervision processes, tools, and controls, in partnership with key technology people and teams. Partner with Compliance Monitoring, Internal Audit, and Regulatory Inquiries teams to respond to regulatory requests for information and support internal testing functions in control testing, enabling assurance that controls are operating effectively and the early identification and remediation of control gaps. Stay apprised of regulatory rule changes, industry trends, and Firm policy changes. Lead special projects as required by senior management. Proactively identify operational risk and control deficiencies in the business and assist in developing solutions and risk 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. BA, MA or equivalent with an understanding of Capital Markets.3 plus years of experience in a relevant financial services role. 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. 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 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. Adaptability, Critical Thinking, Detail-Oriented, Investments Analysis, Personal Development, Personal Initiative, Teamwork.
