Control Room Compliance Lead: Watch & Restricted Lists
RBC Capital Markets, LLC
RBC Capital Markets, LLC is seeking a seasoned Compliance professional to maintain Information Barriers, review Research for FINRA/SEC adherence, and manage Watch and Restricted Lists to prevent improper information flow. You will advise Research and Sales & Trading on restrictions, coordinate with Investment Banking on deal announcements, and conduct surveillance, testing, and risk assessments as part of a robust control room function. #J-18808-Ljbffr RBC Capital Markets, LLC
Vacancy posted 5 days ago
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