Regulatory Compliance Specialist
1 month ago
Job Summary
We are seeking a highly skilled Regulatory Compliance Specialist 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.
- 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 the various 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.
Requirements
- 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
What's in it for you?
We offer a comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable. Our leaders support your development through coaching and managing opportunities. You will have the ability to make a difference and lasting impact, work in a dynamic, collaborative, progressive, and high-performing team, and opportunities to do challenging work and build close relationships with clients.
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