Director, Control Room Compliance
RBC — 2 Locations
Posted 2026-09-08
Job Description What is the opportunity? This role is responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Corporate Banking, etc.). It will maintain the firm's Watch and Restricted lists, and implement restrictions pursuant to securities laws and firm policies and procedures. Further, this role will review RBC's Research prior to publication to ensure it adheres to FINRA and SEC rule requirements, and will cover Research and Investment Banking from an advisory perspective. What will you do? Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists Restricted List: daily updating and monitoring of the Restricted List Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking Real-time Support Advise Research and Sales & Trading of restrictions and corresponding permissible activities Co