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Job Description
What is the Opportunity?
The Employee Disclosures Analyst will administer and oversee Employee Disclosures, inclusive of 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. . The Employee Disclosures group ensures that the Compliance oversight process is aligned with business strategies, operations and procedures.
What will you do?
Outside Business Activities ("OBAs") and Private Investments ("PIs")
- Coordinate Compliance review of OBA and PI requests
- Compose and communicate Compliance response to requestor
- Ensure maintenance of books and records
- Periodically conduct reviews and reconciliation of OBA and PI records for completeness
- Distribute applicable requests to Licensing and Registration team for U4 reporting
Personal Account Disclosure ("PAD")
- 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.
Surveillance
- Serve as back up for surveillance of employee trading activity to oversee compliance with the Firm's personal trading policy
General
- 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 (1-3 years) in a compliance 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 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 $70,000 - $90,000 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.
Job Skills
Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job Details
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Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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