Associate Director - Employee Disclosures

What is the Opportunity?

The Associate Director - Employee Disclosures will administer and oversee the CNB Employee Disclosures team, responsible for matters including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments, ensuring that they are in compliance with Firm policy and SEC and FINRA rules and regulations.

What will you do?

• Coordinate Compliance review of OBA and PI requests for potential conflicts of interest

• Ensure maintenance of books and records

• Periodically conduct reviews and reconciliation of OBA and PI records for completeness

• Distribute applicable notifications to Licensing and Registration team for U4 reporting

• Review PAD submissions and in accordance with Firm policy determine permitted vs. non-permitted accounts

• Review exemption requests to maintain brokerage accounts with non-approved firms to determine approval or rejection and communicate decision to requestor

• Draft and distribute 3210 letters

• Track receipt of and review of personal / related account statements

• Retain PAD forms / related documentation and ensure maintenance of books and records

• Periodically conduct reviews and reconciliation of PAD records for completeness

• Add accounts to and remove accounts from various trading feed platforms for electronic receipt of statements and trade confirms.

• Daily and weekly tracking and reporting on new employees to ensure timely submission of disclosures

• Track contingent workers and termed employees in order to maintain accurate disclosure status on system

• Track and reporting of policy violations

• Serve as back up for surveillance of employee trading activity to oversee compliance with the Firm's personal trading policy

• Advise and conduct/participate in training sessions regarding the Firm's account, OBA and PI policies as needed

What do you need to succeed?

• Bachelor's degree in Business

• Preferred years of experience (3-8 years) in a compliance or related function

• Detailed understanding of compliance issues facing Broker-Dealers

• Ability to multi-task

• Extremely organized and detailed oriented

• Team player

• Strong written and verbal communication skills

• Creative thinker

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 include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.

• 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.

The expected salary range for this particular position is $110,000-$190,000 (New Jersey), depending on your experience, skills, and registration status, market conditions and business needs.

You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.

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

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Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.