insurance | Head of US Capital Markets Central Compliance in Manchester Township, NJ

Head of US Capital Markets Central Compliance

  • Royal Bank of Canada
  • $106,270.00 - 106,270.00 / Year *
  • 3600 NJ-70
  • Manchester Township, NJ 08759
  • Full-Time



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The employer is one of the world's leading financial groups.
  • Establish Technology Compliance CoE to efficiently and effectively drive global regulatory guidance, communicate requirements and advise on change management.
  • Coordinate with, and advise, IT of the Compliance requirements associated with the development of new systems and technology development.
  • Ensure Technology has the proper controls in place and escalate any issues.
  • Work with Technology to develop standard operating protocols for IT system development and maintenance.
  • Social Media: Provide guidance on regulatory developments related to Social Media.

  • Knowledge of FINRA, SEC & MSRB rules and regulations
  • Highly organized, detail-oriented and exceptional Communications skills
  • Ability to multi-task and work in a fast-paced environment
  • Previous Broker/Dealer experience
  • Extensive knowledge of the securities industry and applicable regulation
  • Keen understanding of Technology

Associated topics: annuities, broker, brokerage, derivatives, dow jones, fiduciary, fund, ira, market, stock


* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.