Regulatory Associate Investment Management
About us
RBC Rochdale partners with financial advisors and their high-net-worth clients to build intelligently personalized investment portfolios. RBC Rochdale provides investment research, portfolio management, macroeconomic outlook and strategic asset allocation to help clients meet their long-term goals. RBC Rochdale, LLC is an SEC-registered investment adviser and wholly-owned subsidiary of City National Bank.
Regulatory Associate
- Learn, understand and apply investment management best practices and fiduciary requirements arising out of OCC and SEC regulations and expectations
- Support the identification and remediation of regulatory, compliance and operational risks to the IM business
- Responsible for the development and implementation of new programs/strategies, regulations, rules, and risk management requirements
- Support committee corporate governance requirements including agenda creation, minute taking, and tracking of issues
- Support the business meet its enterprise level risk program requirements, including Risk and Control Self Assessments (RCSA’s), Compliance Risk Assessments (CRAs), Issue Management
- Facilitate reviews by compliance, internal audit and external regulators while providing knowledge of OCC and SEC fiduciary based regulatory requirements
What you need to succeed
- Bachelor's Degree or equivalent
- 7+ years managing projects
- 7+ years of experience in or related to financial services
- MBA or other advanced degree (e.g., JD, MBA, Masters, etc.) preferred
Compensation and benefits
Starting base salary: $92,114 - $156,880 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
Benefits and Perks:
- Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
- Generous 401(k) company matching contribution
- Career Development through Tuition Reimbursement and other internal upskilling and training resources
- Valued Time Away benefits including vacation, sick and volunteer time
- Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
- Career Mobility support from a dedicated recruitment team
- Colleague Resource Groups to support networking and community engagement
Equal Opportunity Employer
City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.