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Global Debt Markets Compliance Officer Job Details

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Global Debt Markets Compliance Officer (Ref: 081120-MC-01)
Sector, Sub Sector: Capital Markets , Non-US Owned Banks
Risk Type: Regulatory/Compliance
Expertise: Regulatory/Compliance
Company: RBC
Location: New York , New York Americas, United States
Employment Type: Permanent
Job Description:

Position Purpose:
• Provide proactive support to the Business in order to ensure compliance with regulatory rules and regulations.  
• Resolve compliance issues on a timely basis.

Key Accountabilities:
• Provide compliance support to municipal finance investment banking, sales and trading, tender option bond program, infrastructure finance, short term origination, sales and trading for both retail and institutional business, government sponsored entities (GSE) business, loan trading, and credit research.  
• Conduct and communicate the results of branch reviews to Compliance Management.
• Assist in updating policies and procedures.   
• Assist in responding to regulatory inquiries.  
• Special projects.

Job Requirements: (Knowledge/ Experience):
• Broker / dealer capital markets fixed income experience.  
• Prefer someone with experience in one or more of the following areas: Municipal Finance, Sales and Trading, Government Sponsored Entities, and Credit Research.  
• Experience in conducting branch inspections.     
• Exceptional communication skills
• Ability to work in a fast paced environment
• Series 7, 53, and 24 license.  Strongly preferred.      
• Professional and collegial.
• A minimum of five years of fixed income compliance experience.
• 30% Travel required.

Required Skills/ Competencies/ Attributes:
See Above

Education:
BA/BS

Required Accreditation(s):
Series 7,53, 24 license pref'd

Special Conditions:
n/a

Diversity:
Diversity in the workplace, one of our shared values, lies at the heart of our rewarding, open, supportive and inclusive work environment. We respect and respond to the many competing and evolving priorities in our lives so you can focus on what you can do best – put clients first.

EOE/M/F/D/V

Job Ref No: 081120-MC-01