Regulatory Associate Investment Management

Overview: 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 INVESTMENT MANAGEMENT

WHAT IS THE OPPORTUNITY? This position sits in City National Bank's Investment Management Group's (IMG) and supports the Head of Regulatory Governance for the Chief Investment Officer. This is a First Line of Defense role and is responsible for the identification, monitoring and mitigation of operational and regulatory risks. In addition, the role will support the IMG's corporate governance requirements, controls implementation and monitoring, and development and maintenance of procedure documentation. The role will also facilitate reviews by compliance, internal audit and external regulators while providing knowledge of OCC and SEC fiduciary based regulatory requirements. WHAT WILL YOU DO?* 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 * Support continuous improvement to over risk culture, risk conduct, and risk literacy within the business,...