London,
RBC
: . PRIMARY RESPONSIBILITIES
Review of Equity, Fixed Income, Rates and other research material for global regulatory compliance
Ensure all material meets the firm's established guidelines
Co-ordinate with staff globally on formatting, production and distribution of research product.
In conjunction with Research Management and the Legal Department provide guidance to Research Staff with respect to daily operating issues
AUTHORITIES, IMPACT, RISK NYSE Series 16 licensed (US), and registration in other jurisdictions, as needed.
Authorized to release Research
Risk to the firm is release of Research that: violates Regulations, Firm Policy, does not take into account all compliance concerns
Risk to firm for missed compliance issue is potential to lose underwriting or advisory fee
Benefit to firm is to manage these risks
Supervisory Analysts help manage the risk, in conjunction with the Control Room, associated with publishing research on securities where the firm may have to manage potential conflicts of interest. Managerial Excellence
Ensure that employees understand RBC vision, as well as support and reinforce targeted behaviours that contribute to RBC goals.
KEY RELATIONSHIPS
Internal Clients - Analyst/Associate teams, the Control Room (Compliance), Publishing
JOB SPECIFICATIONS
Previous experience as an equity analyst preferred.
Previous experience as an equity SA would be an asset.
Excellent communication skills.
Ability to deal with multiple projects and tight deadlines.
Knowledge of Microsoft Word, Excel, PowerPoint
Strong organizational abilities
Detail oriented
Willingness to work evening hours.
WORKING CONDITIONS
The work environment is based on an office/trading floor, thus little physical effort is required;
The office environment can be a high stress environment that requires quick turnaround and decision making
*LI-MM2 About RBC Royal Bank of Canada is Canada's largest bank, and one of the largest banks in the world, based on market capitalization. We are one of North America's leading diversified financial services companies, and provide personal and commercial banking, wealth management, insurance, investor services and capital markets products and services on a global basis. We employ approximately 78,000 full- and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 39 other countries. For more information, please visit rbc.com. Diversity and Equal Opportunity Employment RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors. RBC's partnership with the Business Disability Forum highlights our commitment to being a disability-smart employer. JOB SUMMARY City: London Address: London Work Hours/Week: 35 Work Environment: Office Employment Type: Permanent Career Level: Experienced Hire/Professional Pay Type: Salaried Required Travel (%): 0-25 Exempt/Non-Exempt: N/A People Manager: No Job Posting End Date: 04/25/2016 Req ID: 105773 Posting Notes: None