Control Room Compliance Lead: Watch & Restricted Lists
Job in
San Francisco, San Francisco County, California, 94199, USA
Listed on 2026-07-20
Listing for:
RBC Capital Markets, LLC
Full Time
position Listed on 2026-07-20
Job specializations:
-
Finance & Banking
Job Description & How to Apply Below
RBC Capital Markets, LLC is seeking a seasoned Compliance professional to maintain Information Barriers, review Research for FINRA/SEC adherence, and manage Watch and Restricted Lists to prevent improper information flow.
You will advise Research and Sales & Trading on restrictions, coordinate with Investment Banking on deal announcements, and conduct surveillance, testing, and risk assessments as part of a robust control room function.
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