Associate Director, Deputy to the BSA AML Officer, RBC Capital Markets, LLC & RBC CMA, Ltd - U.S. Financial Crimes

Job DescriptionWhat is the opportunity?Support the BSA AML Officer of RBC Capital Markets, LLC (“RBCCM LLC”) and RBC CMA, Ltd (“CMA”) in the oversight and execution of Financial Crimes requirements of the for the broker dealer.Provide ongoing financial crimes subject matter and policy expertise to support the BSA AML Officer, and with 1LOD, 2LOD, and 3LOD.Assist the BSA Officer with oversight, monitoring, and effective challenge of the control environment.What will you do?Lead in drafting the quarterly US CM Quarterly AML Report and presenting it to the US Head of Financial Crimes and US senior financial crimes management (i.e. metrics, analysis on trends, issue management etc.) and other reporting as applicable (i.e. regulatory) with oversight from the BSA OfficerActively support the BSA AML Officer with Audit & Regulator engagement and assist with the timely resolution of requests for information, reporting and remediation of findingsEnsure that US AML regulatory obligations (BSA/USA PATRIOT Act/AML Act and updates to the CDD Rule) are metInterface with primary and key regulators (e.g., FRB, FINRA)Facilitate the development of controls for mitigating financial crimes risks and identify gaps/remedial steps (issue management) meeting regulatory requirements and other expectationsSupport the BSA Officer in managing the New Business Committee (NBC) Financial Crimes requirements and process as it relates to new or expanding products and services to evaluate financial crimes risks and controls as well as coordinating with global CM Financial Crime stakeholders on shared productsProvide material input into the output of RCM relating to new regulations, guidance and enforcement actions impacting the broker dealer (CUBE) to ensure regulatory compliance, alignment with best practices and address emerging risksAssist the BSA Officer with oversight, monitoring, and effective challenge of the control environmentDeliver tailored AML training to the business and infrastructure groups as needed, update training materials, and oversee the completion status of Financial Crimes required trainingSupport the BSA Officer to provide material input into the Risk Assessment and RCSA for the broker dealerAdvise on product risk and assess impact to the Client Risk Rating model and Risk AssessmentAdvisor and ongoing contributor relating to appropriate transaction monitoring typologies, data feeds, interfaces for the monitoring of activity booked to the broker dealer including the rollout of transaction monitoring and any future products approved through the new business committeeProvide oversight of the Capital Markets FIU’s transaction monitoring and investigation team's review and resolution of alerts and investigationsStrong Collaboration with the Trade Surveillance team to ensure ongoing communication as it pertains to financial crimes and escalation of unusual activityProvide ongoing supervision, guidance, and approval of Suspicious Activity Report filings for the broker dealer with FinCEN and ensuring proper risk mitigationAssist the BSA Officer with law enforcement matters involving Financial CrimesAssist in the enhancement of anticipated activity requirements and ongoing refresh of anticipated activity to comply with the CDD ruleCoordinate with Fraud Management & relevant stakeholders to ensure there is a process of escalation, investigation & reportingDeliver tailored AML training to the business and infrastructure groups as needed, update training materials, and oversee the completion status of Financial Crimes required trainingProvide regular updates to the Head of US CM Financial Crimes, the BSA AML Officer and Chief Operating Officer (where applicable), escalating significant issues when neededLiaise with the U.S. Director of Financial Crimes Oversight Testing relating to the testing programActive member of the CUSO Financial Crime Management CommitteeAssist with the development and updates to Financial Crimes related policies and procedures on at least an annual basisAct as subject matter expert with respect to Financial Crimes requirements including handling AML inquiries from the front and back office and infrastructure groupsAssist with US Financial Crimes strategy related projects including project/task management and required documentation where applicableMaintain industry expertise through regular participation in Financial Crimes related forums and trainingEffectively exploit synergies across borders, areas of expertise, businesses, and functionsAssist with instilling a "culture of compliance” and in ensuring that employees understand RBC vision, as well as support and reinforce targeted behaviors that contribute to achieving RBC goalsLeverage the value in unit, department, and enterprise-wide teams to develop better solutions and achieve a cross-enterprise mindsetWhat do you need to succeed?Must-haveUniversity degree or equivalent experienceExtensive knowledge of risk management and anti-money laundering related requirements including BSA, USA PATRIOT Act, OFAC, FCPA and other applicable U.S. regulationsStrong knowledge of the broker dealer (e.g. securities; investment banking; etc.) and understanding of their associated overall financial crimes risks, e.g. market manipulation & insider tradingIn-depth knowledge of Capital Markets products, their trade cycles, settlement flows, and their use in Financial CrimesStrong ability to apply regulatory requirements to development of risk-based, reasonable AML, EconomicSanctions and ABAC to relevant business models, as well as diversified productsAbility to produce quality work under strict deadlines, and to effectively prioritize and complete multiple projectsNice-to-haveUnderstanding of relevant emerging risks preferred (e.g. cryptocurrency)Exceptional written, verbal communication, and analytical skillsStrong organizational/time-management skillsStrong inter-personal/relationship management skillsAttention to detail, and a methodological approach to analysisLeader, highly adaptable, organized, reliable, team player, self-starter. Ability to impact and influenceIntuitive and inquisitive thinker – demonstrated critical thinking skillsInnovative and Digital ThinkerAbility to understand and articulate financial crime risks as perceived in specific cases and more broadlyWhat’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 includes 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 $120,000-$200,000 (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 cultureEnables collective achievement of our strategic goalsGenerates sustainable shareholder returns and above market shareholder valueJob SkillsAdaptability, Anti Money Laundering Training, Critical Thinking, Customer Service, Detail-Oriented, Financial Engineering, Financial Statement Analysis, Investments Analysis, Personal Development, Personal Initiative, Regulatory Compliance, Regulatory Requirements, Risk Mitigation, Teamwork, USA Patriot ActAdditional Job DetailsAddress:GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITYCity:Jersey CityCountry:United States of AmericaWork hours/week:40Employment Type:Full timePlatform:GROUP RISK MANAGEMENTJob Type:RegularPay Type:SalariedPosted Date:2026-08-05Application Deadline:2026-10-31Note:Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveOur Employment OpportunitiesAt RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One 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.Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.Job SummaryJob number: R-0000182580Date posted : 2026-08-05Profession: Audit | Compliance | Legal | RiskEmployment type: Full time