Control Room Compliance Director: Info Barriers Lead
RBC
RBC in San Francisco seeks a senior compliance professional to maintain Information Barriers between public and private sides of the firm, manage Watch and Restricted lists, and enforce securities laws and firm policies. You will review Research prior to publication for FINRA/SEC compliance and support advisory activities for Research and Investment Banking. Key responsibilities include updating the Restricted and Watch Lists daily, advising on permissible activities, and conducting risk #J-18808-Ljbffr RBC
Vacancy posted 5 days ago
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