Regulatory Compliance Professional

3 weeks ago

Mumbai, Maharashtra, India RBC Capital Markets, LLC Full time

Job Summary

We are seeking a Regulatory Compliance Professional to join our team at RBC Capital Markets, LLC. As a key member of our compliance team, you will be responsible for providing advisory coverage and conducting ongoing monitoring of various banking activities for compliance with key regulations issued by City National Bank's primary U.S. based prudential regulators.

Key Responsibilities

  • Understanding and analyzing key regulations issued by CNB's primary U.S. based prudential regulators, including the Federal Reserve's Regulation W, Regulation O, Volcker Rule, and investments related regulations and their requirements.
  • Assisting with developing, publishing and maintaining policies / procedures / guidelines for CNB Lines of Business or Functional teams to ensure adherence to such key prudential regulation requirements.
  • Assisting with creating and centrally maintaining an inventory of key controls for the Prudential Regulations related compliance programs.
  • Collaborating with U.S. Bank Regulatory Law Group team to obtain clear guidance on interpretive matters related to the Prudential Regulations related Compliance Programs.
  • Assisting with the execution of regular reviews of procedure documents based on business, regulatory, and programmatic changes.
  • Providing general advisory support to the business and supporting functional groups regarding the interpretation and application of such key Prudential Regulations.
  • Performing Prudential Regulations impact assessments on New Business Activity.
  • Supporting and engaging within related change management processes for such Prudential Regulations.
  • Developing and documenting internal controls and processes to adhere to the regulatory requirements of the Prudential Regulations.
  • Tracking, monitoring, reviewing and remediating matters related to such Prudential Regulations raised through the escalation hierarchy process.
  • Conducting compliance monitoring reviews which audit the effectiveness of the internal controls as reflected in the related Prudential Regulations compliance programs.
  • Drafting compliance monitoring reports and communicating testing objectives, processes, methodologies, and results to senior management, business owners, and relevant control functions.
  • Drafting training policies, procedures, and practices to ensure compliance with the training requirements of the related Prudential Regulations, where appropriate.
  • Preparing for regulatory exams impacting such Prudential Regulations and inquiries, including review of all regulatory requests, tracking, monitoring, and submitting documentation as part of an exam or inquiry, in a timely manner.

About You

  • BA/BS Degree Required
  • 3-5 years of compliance (or equivalent) experience obtained in a financial institution, accounting, consultancy, or law firm
  • Knowledge of Federal Reserve Alphabet Regulations (W, D, B, R, K, Y and O)
  • Knowledge of relevant banking and securities laws
  • Exceptional interpersonal skills and superior judgment
  • Solution driven
  • Ability to accept accountability, assume proactive approach to work, demonstrate initiative, collaborative, cross-unit co-operation, information sharing
  • Ability to maintain confidentiality of highly sensitive information
  • Skilled in Microsoft Excel and PowerPoint
  • Strong written and oral communication skills

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.

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 build close relationships with clients

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