Employee Disclosure and Personal Account Dealing Consultant (Contract)
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Job Summary
Job Description
What is the opportunity?
The consultant is responsible to administer and oversee compliance with Firm policy and SEC and FINRA rules and regulations with respect to Employee Disclosures including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments. Ensure that Compliance oversight process is aligned with business strategies, operations and procedures. Execute surveillance of personal trading activity and escalate as necessary to management.
Region: APAC
Working hours are: 9AM - 6PM
What will you do?
Surveillance
- Execute surveillance of employee trading activity to oversee compliance with the Firm’s personal trading policy.
Personal Account Disclosure (“PAD”)
- Assist with review of PAD submissions and in accordance with Firm policy determine permitted vs. non-permitted accounts
- Assist with review of exemption requests to maintain brokerage accounts with non-approved firms to determine approval or rejection and communicate decision to requestor
- Track receipt of and review of personal / related account statements
- Retain PAD forms / related documentation and assist with 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 reciept of statements and trade confirms.
- Assist with daily and weekly tracking and reporting on new employees to ensure timely submission of disclosures.
- Assist with tracking and reporting of policy violations.
Outside Business Activities (“OBAs”) and Private Investments (“PIs”)
- Assist with maintenance of books and records
- Assist with reviews and reconciliation of OBA and PI records for completeness
What do you need to succeed?
Must-have
- Bachelor’s degree
- Detailed understanding of compliance issues facing Broker-Dealers
- Familiarity with regulatory filing mechanisms
- Ability to multi-task
- Extremely organized and detailed oriented
- Team player
- Minimal Travel Required.
Nice-to-have
- 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 performance based bonuses, flexible benefits, and competitive compensation.
- Leaders who support your development through coaching and managing opportunities.
- A world-class training program in financial services.
- A collaborative dynamic culture where personal initiative and hard work are recognized and rewarded.
Job Skills
Audits Compliance, Compliance Oversight, Critical Thinking, Data Gathering Analysis, Decision Making, Documentations, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Management Reporting, Product Services, Regulatory Compliance, Risk Management, Strategic Thinking, SurveillanceAdditional Job Details
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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 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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