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    Compliance Controls and Compliance Risk Taxonomy- Associate Director - Jersey City, NJ, United States - Royal Bank of Canada

    Royal Bank of Canada
    Royal Bank of Canada Jersey City, NJ, United States

    3 weeks ago

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    Description
    Come Work with UsAt RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose.

    Whether you're helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work that matters in the world, in an environment built on teamwork, service, responsibility, diversity, and integrity.

    Job TitleCompliance Controls and Compliance Risk Taxonomy- Associate DirectorJob DescriptionWhat is the opportunity? The Associate Director of Compliance Controls and Compliance Risk Taxonomy is responsible for:working with Business Segments' first line of defense and second line of defense to identify, document and map Compliance controls for purposes of enabling (i) an effective Compliance Risk Assessment and (ii) effective Compliance Testing and Monitoring; andmanaging the Compliance Risk Taxonomy (the themes used for risk assessment and other purposes) to (i) ensure Compliance Risk Assessments are comprehensive and (ii) each theme assessed by any U.S.

    Line of Business has appropriate regulations mapped to it (which are consistent across the U.S.).What will you do?Hold workshops to identify, draft and finalize Compliance control descriptions, objectives and attributes across multiple U.S.

    Business Segments (including the U.S. banks, federal branches, broker dealers, investment funds, swap dealer, etc.

    and ensure controls are uploaded appropriately into the Enterprise Repository for Internal Controls (ERIC);Design and implement an annual process to review, revise and update Compliance controls to ensure all control descriptions, objectives and other attributes remain current;Review action plans related to Compliance Issues to identify possible new controls and/or changes to current controls and working with action plan owners to update Compliance controls timely;Maintain the overall Compliance Risk Taxonomy in the U.S.


    by:
    (i) designing and implementing a process to map laws, rules and regulations within the Regulatory Inventory to the appropriate Compliance Risk Taxonomy themes (within the established Enterprise systems where possible and via supplemental documentation where not possible); and (ii) in coordination with the Regulatory Developments team, identifying changes in laws, rules and regulations that require changes in the theme descriptions and/or pinpoint citations;Identify any regulatory gaps in the Regulatory Inventory and offers creative problem-solving solutions, working within the system constraints;Document all processes in procedures, standards and/or job aides;Prepare and delivering training to stakeholders on controls and the Compliance Risk Taxonomy as necessary; andIdentify effectiveness measures (such as percentage of controls which are automated, etc.) to demonstrate control maturity and taxonomy coverage. Responsible for interacting with the first- and second-line Control Owners and other Personnel.
    Well written and accurate controls enable more precise risk assessments and make monitoring and testing more efficient.
    Interact with Enterprise Compliance to ensure firm-wide processes relating to controls and the Compliance Risk taxonomy are conducted.

    Work with Business Segment risk to resolve Internal Audit and other issues identified relating to the Compliance Risk Taxonomy, regulation mapping and controls.

    What do you need to succeed?- 7 years' experience in the financial services industry in Compliance or at a financial institutions regulatorJ.D.

    or other demonstrable knowledge of laws, rules and regulationsKnowledge of FINRA, SEC, MSRB, FRBNY and OCC rules and regulations and expectationsAbility to write documents, procedures, trainings, job aides, etc.

    Experience with operating in a highly matrixed environmentExcellent communication, influencing and presentations skills.

    Creative problem-solving skills.​What'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 compensation, commissions, and stock where applicable.
    Leaders who support your development through coaching and managing opportunitiesAbility to make a difference and lasting impact.
    Work in a dynamic, collaborative, progressive, and high-performing teamOpportunities to do challenging work.
    Opportunities to building close relationships with clients.

    The good-faith expected salary range for the above position is $ 110,000 - $190,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.

    This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

    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 culture.
    Enables collective achievement of our strategic goals.
    Generates sustainable shareholder returns and above market shareholder value.


    Job SummaryAddress:
    Jersey City, New Jersey, United States of AmericaCity:USA-NJ-JERSEY CITYCountry:United States of AmericaWork hours/week:40

    Employment Type:
    Full timePlatform:Group Risk Management

    Job Type:
    Regular

    Pay Type:
    Salaried

    Posted Date:

    Application Deadline:
    Inclusion and Equal Opportunity EmploymentAt RBC, we embrace diversity and inclusion for innovation and growth.

    We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.

    We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.​​​​​​​We also strive to provide an accessible candidate experience for our prospective employees with different abilities.

    Please let us know if you need any accommodations during the recruitment process.
    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 SummaryJob number: R Date posted : Profession: Audit | Compliance | Legal | RiskEmployment type: Full time
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