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Director, Control Room Compliance

0000050176 RBC Capital Markets, LLCTWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCO
A tiempo completo

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 si... Mostrar más

Engineer - Marine

SavageOakland, CA, US
A tiempo completo

Benefits you receive when working with Savage: Travel assistance to & from vessel paid for by the employer A culture that appreciates team members Profit Sharing Excellent Benefits including me... Mostrar más

Turn Quality Control Coordinator

ArtHausOakland, CA, United States
A tiempo completo

Turn Quality Control Coordinator.The Turn Quality Control Coordinator is the single point of accountability for ensuring every unit turn across the ArtHaus Properties portfolio is completed on time... Mostrar más

Production Control Supervisor

Global Channel ManagementOakland, CA, United States
A tiempo completo

Production Control Supervisor needs 2+ years experience.Production Control Supervisor requires:.High school diploma or equivalent; additional education or certification in related fields is a plus.... Mostrar más

13J Fire Control Specialist

Army National GuardRichmond, CA
A tiempo parcial

JOINT Automated Systems are tools that help provide strategic coordination and situational awareness at the tactical levels of combat.As a Fire Control Specialist, your primary responsibility will ... Mostrar más

Warehouse Inventory Control Clerk

Civil RecruitRichmond, CA, United States
A tiempo completo
Quick Apply

Shift: Monday through Friday 7am - 3:30/4pm.After training manager is flexible to work schedule.Candidate must be open to occasional weekend work as well as overtime.Is there a possibility this rol... Mostrar más

Receiver - Inventory Control Clerk

SafewayBerkeley, CA, United States
A tiempo parcial

As a Receiver / Inventory Control Clerk (ICC), you’ll be overseeing all Direct Store Delivery (DSD) operations, ensuring merchandise is accurately received, accounted for, and stocked.You’ll walk t... Mostrar más

Warehouse Inventory Control Clerk I

Cephas Consultancy Services Private LimitedRichmond, California, United States, 94804
A tiempo completo
Quick Apply

Shift: Monday through Friday 7am - 3:30/4pm.After training manager is flexible to work schedule.Candidate must be open to occasional weekend work as well as overtime.Is there a possibility this rol... Mostrar más

Vector Control Manager - #26-5693-01

Alameda County JobsAlameda, CA, United States
Indefinido

Employment Type: Permanent Full-Time Employment.HR Analyst: Nicole Lewis-Bolton.Department: Alameda County Health.Type of Recruitment: New, open, assembled. Mostrar más

Infection Prevention and Control Technical Specialist - Remote

TradeJobsWorkForce94108 San Francisco, CA, US
Teletrabajo
A tiempo completo

Infection Prevention and Control Technical Specialst Job Duties: Consolidate, review and revise Americares existing technical materials related to disease outb... Mostrar más

 • Oferta promocionada

Project Engineer

JobotEmeryville, CA, US
90.000,00 US$ anual
A tiempo completo

Long standing General Construction firm seeks Project Engineer for Multi Family Developments (Berkely) This Jobot Job is hosted by: Aaron Erickson Are you a fit? Easy Apply now by clicking the "Qui... Mostrar más

Inventory Control Specialist

AramarkOakland, CA, US
A tiempo completo

The Strategic Sourcing Coordinator III is responsible for the purchasing and storage of food and kitchen supplies from vendors.Evaluation of vendor quotes and services to determine the most cost ef... Mostrar más

Document Control Specialist

SoloPoint Solutions, Inc.Emeryville, CA, US
A tiempo completo
Quick Apply

Bachelor’s degree in Engineering, Manufacturing, or related field.Proficiency with Arena PLM, familiar with SolidWorks, OnShape CAD, and NetSuite ERP systems.Strong knowledge of revision contr... Mostrar más

Pest Control Technician

Ecolab Inc.Oakland, CA, US
28,43 US$ por hora
A tiempo completo

Want to build a brighter, bolder future and cultivate your career? Join Ecolab’s team and help create a world in which we all thrive.Our Pest Elimination team proudly serves our communities and cus... Mostrar más

 • Nueva oferta

Quality Control Manager, Front of House (FOH)

Cupcakin' Bake ShopBerkeley, California, United States
30,00 US$ por hora
A tiempo parcial
Quick Apply

Quality Control Manager, Front of House (FOH).Northern California (Multi-Store Coverage).Monday–Thursday, plus two Saturdays per month (alternating schedule).Weekly travel required between all stor... Mostrar más

Senior Software Engineer - Vehicle Motion Planning & Control

ZendarBerkeley, California, United States
160.000,00 US$ anual
A tiempo completo

Zendar builds a radar-centric autonomy stack which makes any vehicle - from cars to robots - autonomous in any environment.With our deep radar DNA, we have architected our solution to put RF sensin... Mostrar más

Costco Inventory Control Specialist

TradeJobsWorkforce94130 San Francisco, CA, US
A tiempo completo

Be part of our success story as a Costco Inventory Control Specialist to track stock levels, reconcile counts, and resolve inventory discrepancies.Interact with customers and colleagues in a profes... Mostrar más

 • Oferta promocionada

Business Insurance Sr. Risk Control Consultant

Marsh & McLennanOakland, CA, United States
A tiempo completo

Award-winning, inclusive, Top Workplace culture doesn't happen overnight.It's a result of hard work by extraordinary people.More than 11,000 of the industry's brightest talent drive our efforts to ... Mostrar más

Structural Engineer | Senior Engineer

Degenkolb EngineersOakland, CA, US
A tiempo completo

Founded in 1940 and headquartered in San Francisco, Degenkolb Engineers has more than eight decades of commitment to innovation, client service, and life-long learning.We deliver customized structu... Mostrar más

Oakland, CA - Field Inspector - Insurance Loss Control

H & S Loss Control InspectionsOakland, California, United States
60,00 US$–75,00 US$ por hora
A tiempo completo

Qualified Field Inspectors for Insurance Loss Control are needed in your area! Immediate placement available.We pay a competitive standard flat fee per case -based on customer as well as, inspectio... Mostrar más

Director, Control Room Compliance

Director, Control Room Compliance

0000050176 RBC Capital Markets, LLCTWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCO
Hace 16 días
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

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
  • Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
  • Information Barriers Surveillance, Monitoring and Testing
  • Risk Assessments and RCM
What do you need to succeed?Must have
  • Bachelor's Degree
  • 10 or more years of Control Room experience, or 12 or more years experience in broker dealer compliance
  • Non-traditional hours may be required – schedule flexibility in order to provide coverage to various business lines through weekends (as needed).
  • Ability to work under short deadlines and make quick and reasoned decisions
  • Subject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations.
Nice to Have
  • Juris Doctor (JD)
  • Ability to work independently while also being able to work effectively in a team environment
What’s in it for you?We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
  • A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
  • Leaders who support your development through coaching and managing opportunities.
  • Ability to make a difference and lasting impact.
  • Work in a dynamic, collaborative, progressive, and high-performing team.
  • Opportunities to do challenging work.
  • Opportunities to build close relationships with clients.
The expected salary range for this particular position is $160,000-$260,000, depending on your experience, skills, and registration status, market conditions and business needs.You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
  • Drives RBC’s high-performance culture
  • Enables collective achievement of our strategic goals
  • Generates sustainable shareholder returns and above market shareholder value
#LI-PostJob SkillsAudits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Industry Knowledge, Interpersonal Relationship Management, Product Services, Risk Management, Strategic ThinkingAdditional Job Details

Address:

TWO EMBARCADERO CENTRE, 2 EMBARCADERO CENTER:SAN FRANCISCO

City:

San Francisco

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

CHIEF LEGAL & ADMIN OFFICE GRP

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2026-07-15

Application Deadline:

2026-08-31Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date aboveOur Employment OpportunitiesAt RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.