Director - Communication Surveillance, Strategy, and Governance - Jersey City, United States - Royal Bank of Canada

Description

Job Summary

Oversees the monitoring of the corporation's day-to-day operations to ensure alignment with ethics and compliance policies and ensures consistency in approach to and compliance with standards of business conduct. Manages activities through senior managers and managers and implements corporate and divisional strategic plans and budgets.

Job Description

What is the Opportunity?

We are looking for an experienced Compliance Professional to lead our Communications Surveillance, Strategy and Governance by reinforcing global Surveillance initiative and governance standards. You will contribute to strategy decisions at a global level across all regions and provide specific Compliance direction as to strategic communications surveillance platforms and technology implementations, the firm's policies and procedures regarding electronic communications and alerting logic to reasonably assure that the surveillances are fit for purpose.

What will you do?

• Lead a global team responsible for the development, enhancement and maintenance of communications surveillance applications and platforms
• Continuously evaluate applicable risks and effectiveness of controls in order to maintain a best-in-class surveillance platform against relevant in-scope risks
• Drive the global strategy and roadmap for the for the development, enhancement and implementation of the communications surveillance platform
• Coordinate and lead regional teams to define the business requirements for the communications surveillance program centrally including, technology selection, surveillance development etc
• Own and maintain the operating model for communications surveillance design and development
• Contribute to the global training requirements for surveillance
• Oversee and lead activities related to the global risk assessment framework specific to surveillance
• Identify areas of improvement based on the risk assessment findings and other key inputs
• Lead and collaborate with regional surveillance teams to periodically assess lexicons and alerting policies to drive enhancements
• Lead and participate in management updates, executive reporting and presentations and project statuses
• Provide input guidance into policies and procedures relating to electronic communications records retention requirements and video collaboration tools
• Participate and represent Compliance Surveillance in various internal and industry forums relating to the assessment and onboarding of new communications applications and mediums and best practices
• Ensure that employees understand RBC vision, as well as support and reinforce targeted behaviors that contribute to RBC goals.
• Provide focus and clarity in establishing individual goals, driving performance management, supporting career development and rewarding strong performance.
• Leverage the value in unit, department, and enterprise wide teams to develop better solutions and achieve a cross enterprise mindset.
• Accept and successfully execute change while supporting employees through the process, and keeping them focused on business priorities.
• Understand and exemplify our people driven, client focused leadership model; driving impact, unlocking the potential of our people, adapt quickly, always learning and speaking up for the good of RBC.
• Contribute to an exceptional employee experience through strong people leadership practices that amplify our Collective Ambition and exemplify the Leadership Model to inspire, support and empower employees to achieve their potential.
• Growth mindset and a focus on always learning; promotes a values based and inclusive workplace; embraces diverse styles and perspectives; Actively mitigates bias and improves diversity representation

What do you need to succeed?

• 10+ years of senior level communications surveillance and/or general surveillance experience supporting institutional sales and trading, retail brokerage and asset management businesses
• Strong subject matter expertise on market abuse, sales practices and suitability and strong technical knowledge of capital markets and investor protection regulatory requirements
• Deep experience with communications surveillance platforms and partnering with Technology to innovate and implement new capabilities
• Strong experience leading global teams across multiple regions, large and complex initiatives
• Experience and communication skills necessary to interact regularly with senior executives within Compliance and the business
• Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators
• Ability to act independently, innovate and manage change, competing priorities and uncertainty
• Ability to build, lead and retain strong cross-regional teams and create a collaborative environment
• To be able to solicit feedback, actively listen but be accountable and make decisions
• To influence decisions and strategic vision
• To be able to make informed and risk based decisions on priorities

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 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 building close relationships with clients

The good-faith expected salary range for the above position is $160,000 - $225, 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 Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking

Additional Job Details

Address:

GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

Inclusion and Equal Opportunity Employment

At 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.
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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.

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