RBC Capital Markets, LLC is seeking a seasoned Compliance professional to maintain Information Barriers, review Research for FINRA/SEC adherence, and manage Watch and Restricted Lists to prevent improper information flow.
You will advise Research and Sales & Trading on restrictions, coordinate with Investment Banking on deal announcements, and conduct surveillance, testing, and risk assessments as part of a robust control room function.
#J-18808-LjbffrControl Room Compliance Lead: Watch & Restricted Lists in san francisco at Unknown Company
This position is listed as full time and onsite.