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Job Title: Global Debt Markets Compliance Associate
Job Location: NY: New York
Pay Rate: Open
Job Length: full time
Start Date: 2008-09-04

Company Name: RBC Financial Group
Contact: Recruiter
Phone: email only please
Fax: email only please

Description: Global Debt Markets Compliance Associate

Posting Start Date: May 6 2008 Job Category: Audit/Compliance/Legal

Job Type: Full-Time

Employment Type: Regular - U.S.

Pay Type: Salaried /tr Exempt/ Non-Exempt: N/A

Work Schedule:

Work Hours/ Week: na

People Manager: No

Posting End Date:

Legal Entity: RBC Capital Markets Corp.

Work Environment: Office

Location: New York

City: New York Office/ Branch Address: 1 Liberty Plaza Relocation Provided: No

Travel Percentage: 0

Fluent In: English

Req ID#: 90019

Position Purpose: PURPOSE . Provide proactive support to the Business in order to ensure compliance with regulatory rules and regulations. . Resolve compliance issues on a timely basis. Key Accountabilities: PRIMARY RESPONSIBILITIES . Provide compliance support to the municipal finance business, government sponsored entity business, and credit research. . Conduct and communicate the results of branch reviews to Compliance Management. . Assist in updating policies and procedures. . Special projects. AUTHORITIES, IMPACT, RISK . Authorized to access material non-public information. . Authorized to access the Firms proprietary systems. KEY RELATIONSHIPS . Control Room. . Legal. . Technology. . Operations.

WORKING CONDITIONS (Legislative Requirement) ? Office Environment. ? Some Travel. ? Fast paced/work under pressure ? Deadline oriented responsibilities TIME ALLOCATION Provide percentage breakdown of key responsibilities. . 60%% Support Business. . 40%% Branch Reviews . 10%% Special projects. Job Requirements: (Knowledge/ Experience): Required: . Broker / dealer capital markets fixed income experience. . Prefer someone with experience in one or more of the following areas: Municipal Finance, Government Sponsored Entities, and / or Credit Research. . Experience in conducting branch inspections. . Exceptional communication skills . Ability to work in a fast paced environment . Series 7, 53, and 24 license. Strongly preferred. . Professional and collegial. . A minimum of five years of fixed income compliance experience. . 30%% Travel required. Required Skills/ Competencies/ Attributes: Education: BA/BS Required Accreditation(s): Special Conditions: na Diversity: Diversity in the workplace, one of our shared values, lies at the heart of our rewarding, open, supportive and inclusive work environment. We respect and respond to the many competing and evolving priorities in our lives so you can focus on what you can do best - put clients first. EOE/M/F/D/V About RBC: Interested in finding out more? Clickhere.

Please refer to Job code rbc-229710 when responding to this ad.

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