Associate Director, Deputy to the BSA AML Officer, RBC Capital Markets, LLC & RBC CMA, Ltd - U.S. Financial Crimes

Financial Crimes Analyst

Support the BSA AML Officer of RBC Capital Markets, LLC ("RBCCM LLC") and RBC CMA, Ltd ("CMA") in the oversight and execution of Financial Crimes requirements of the broker dealer.

Provide ongoing financial crimes subject matter and policy expertise to support the BSA AML Officer, and with 1

LOD, 2

LOD, and 3

LOD.

Assist the BSA Officer with oversight, monitoring, and effective challenge of the control environment.

Lead in drafting the quarterly US CM Quarterly AML Report and presenting it to the US Head of Financial Crimes and US senior financial crimes management (i.e. metrics, analysis on trends, issue management etc.) and other reporting as applicable (i.e. regulatory) with oversight from the BSA Officer

Actively support the BSA AML Officer with Audit & Regulator engagement and assist with the timely resolution of requests for information, reporting and remediation of findings

Ensure that US AML regulatory obligations (BSA/USA PATRIOT Act/AML Act and updates to the CDD Rule) are met

Interface with primary and key regulators (e.g., FRB, FINRA)

Facilitate the development of controls for mitigating financial crimes risks and identify gaps/remedial steps (issue management) meeting regulatory requirements and other expectations

Support the BSA Officer in managing the New Business Committee (NBC) Financial Crimes requirements and process as it relates to new or expanding products and services to evaluate financial crimes risks and controls as well as coordinating with global CM Financial Crime stakeholders on shared products

Provide material input into the output of RCM relating to new regulations, guidance and enforcement actions impacting the broker dealer (CUBE) to ensure regulatory compliance, alignment with best practices and address emerging risks

Assist the BSA Officer with oversight, monitoring, and effective challenge of the control environment

Deliver tailored AML training to the business and infrastructure groups as needed, update training materials, and oversee the completion status of Financial Crimes required training

Support the BSA Officer to provide material input into the Risk Assessment and RCSA for the broker dealer

Advise on product risk and assess impact to the Client Risk Rating model and Risk Assessment

Advisor and ongoing contributor relating to appropriate transaction monitoring typologies, data feeds, interfaces for the monitoring of activity booked to the broker dealer including the rollout of transaction monitoring and any future products approved through the new business committee

Provide oversight of the Capital Markets FIU's transaction monitoring and investigation team's review and resolution of alerts and investigations

Strong Collaboration with the Trade Surveillance team to ensure ongoing communication as it pertains to financial crimes and escalation of unusual activity

Provide ongoing supervision, guidance, and approval of Suspicious Activity Report filings for the broker dealer with FinCEN and ensuring proper risk mitigation

Assist the BSA Officer with law enforcement matters involving Financial Crimes

Assist in the enhancement of anticipated activity requirements and ongoing refresh of anticipated activity to comply with the CDD rule

Coordinate with Fraud Management & relevant stakeholders to ensure there is a process of escalation, investigation & reporting

Deliver tailored AML training to the business and infrastructure groups as needed, update training materials, and oversee the completion status of Financial Crimes required training

Provide regular updates to the Head of US CM Financial Crimes, the BSA AML Officer and Chief Operating Officer (where applicable), escalating significant issues when needed

Liaise with the U.S. Director of Financial Crimes Oversight Testing relating to the testing program

Active member of the CUSO Financial Crime Management Committee

Assist with the development and updates to Financial Crimes related policies and procedures on at least an annual basis

Act as subject matter expert with respect to Financial Crimes requirements including handling AML inquiries from the front and back office and infrastructure groups

Assist with…