Director, Control Room Compliance

Job DescriptionWhat is the opportunity?This role is responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Corporate Banking, etc.). It will maintain the firm's Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. Further, this role will review RBC's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and will cover Research and Investment Banking from an advisory perspective.What will you do?Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted ListsRestricted List: daily updating and monitoring of the Restricted ListWatch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment BankingReal-time SupportAdvise Research and Sales & Trading of restrictions and corresponding permissible activitiesCoordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted ListsInformation Barriers Surveillance, Monitoring and TestingRisk Assessments and RCMWhat do you need to succeed?Must have Bachelor's Degree10 or more years of Control Room experience, or 12 or more years experience in broker dealer complianceNon-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).Ability to work under short deadlines and make quick and reasoned decisionsSubject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations.Nice to HaveJuris Doctor (JD)Ability to work independently while also being able to work effectively in a team environmentWhat’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 include 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 $160,000-$260,000, 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 value#LI-PostJob SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job DetailsAddress:TWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCOCity:San FranciscoCountry:United States of AmericaWork hours/week:40Employment Type:Full timePlatform:CHIEF LEGAL & ADMIN OFFICE GRPJob Type:RegularPay Type:SalariedPosted Date:2026-07-15Application Deadline:2026-10-30Note: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-0000180726Date posted : 2026-09-08Profession: Audit | Compliance | Legal | RiskEmployment type: Full time