NJ Employer Compliance Officer in Jersey City, New Jersey

What is the opportunity?The Compliance Officer will develop, implement, and maintain effective compliance program for regulatory inquiries associated with RBC Capital Markets, LLC ("RBCCM" or the "Firm").What will you do?Handle the receipt, response, and follow-up for regulatory inquiries associated with RBCCM.Field verbal and written inquiries from various regulatory agencies. This may also include investigations or exams initiated by regulatory agencies.Coordinate and/or conduct due diligence in connection with regulatory inquiries.Work closely with relevant subject matter experts and stakeholders throughout RBCCM to draft and prepare responses.Escalate and notify business units regarding findings and/or corrective actions required, as appropriate.Ensure proper and complete maintenance of books and records pertaining to RBCCM inquiries.Assess and report trends associated with inquiries and areas targeted by regulatory bodies to management.Identify, escalate and assist with summarizing regulatory issues for inclusion into enterprise reporting.Participate in regulatory audits.Special projects as assigned.What do you need to succeed?Must-haveBachelor's DegreeExtensive and comprehensive regulatory knowledge and expertise (3+ year minimum)Excellent judgment and analytical skillsExcellent written and oral communication skillsAbility to interact with regulatorsIn-depth knowledge of broker dealer rules and regulationsWhat'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 bonuses and flexible benefits, competitive compensationLeaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impactWork in a dynamic, collaborative, progressive, and high-performing teamAbout RBCRoyal Bank of Canada is Canada's largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We have over 80,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 37 other countries. For more information, please visit .Join our Talent CommunityStay in-the-know about great career opportunities at RBC. Sign upand 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 .Inclusion and Equal Opportunity EmploymentRBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors. Disability-related accommodations during the application process are available upon request.JOB SUMMARYCity:Jersey CityAddress:30 Hudson StreetWork Hours/Week:40Work Environment:OfficeEmployment Type:PermanentCareer Level:Entry LevelPay Type:SalariedRequired Travel (%):0-25Exempt/Non-Exempt:ExemptPeople Manager:NoApplication Deadline:2018-04-16Req ID:159716Posting Notes: [[mfield1]]RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualifie