Compliance Manager - Operations and Finance

Confidential Company  •  Minneapolis, MN

8 - 10 years experience  •  Financial Services

$96K - $132K ($80K - $110K base + 20%)
Posted on 08/14/17 by Cindy Barnes
Confidential Company
Minneapolis, MN
8 - 10 years experience
Financial Services
$96K - $132K
($80K - $110K base + 20%)
Posted on 08/14/17 Cindy Barnes


What is the opportunity?

The RBC Capital Markets & Wealth ManagementCompliance Manager provides advisorycompliance services to the Finance and Operations departments. In addition, you are expected to provide high-quality, real-time advice regarding Regulatory and Firm policy matters.

What will you do?
•Compliance Advisory ?Provide coverage for US Operations and Finance, including the development of controls reasonably designed to detect and mitigate compliance issues in the Operations or Finance functions.
?Advise on regulatory matters and Firm policies impacting Operations and Finance, including SEC rules 15c3-1, 15c3-3, Reg SHO Rule 204, applicable FINRA rules, and Fed & OCC requirements

•Regulatory Coverage ?Develop and implement policies and procedures to comply with existing and new regulatory requirements.
?Liaise with regulators during regulatory examinations and inquiries related to Operations and Finance.
?Proactively identify issues impacting RBC through participation in business, industry and regulatory initiatives.

•Regulatory Reporting ?Work with Operations and front-office personnel on the build out and ongoing maintenance of a Target Operating Model for order and transaction-based regulatory reports; advise on the requirements of reporting systems including but not limited to, ACT/ORF, LOPR, TRACE, Blue sheets, OATS, OCEND, and Short Interest reporting.

•Collaborate and manage medium to large projects across various teams.
•Establish and maintain a network of key relationships and communications within various business and functional units.

What do you need to succeed?

•BA/BS degree with a detailed and thorough understanding of Operations and Finance
•Minimum 7-10 years of compliance or regulatory experience
•Knowledge of SEC Rule 15c3-1, 15c3-3, and other regulatory requirements related to Operations or Finance
•Adaptable to a dynamic work environment with multiple priorities and strict timelines.  Ability to organize workload and prioritize for responsiveness and efficiency
•Able to work independently and adapt to changing and competing priorities
•Strong written and oral communication skills

•Prior experience at a regulator (SEC, FINRA, CFTC, Federal Reserve)

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.

o    Leaders who support your development through coaching and managing opportunities
 o    Ability to make a difference and lasting impact
 o    Work in a dynamic, collaborative, progressive, and high-performing team

About RBC
 Royal Bank of Canada is Canada’s largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America’s leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visit

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Inclusion and Equal Opportunity Employment
 RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.


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