Job Details

Employee Disclosures Associate

Company name

Royal Bank of Canada (RBC)

Organization Type


Job Type


Years of Experience

2-4 yrs required


Jersey City, NJ

Date Last Verified

Apr 20,2018

Posted on

Mar 15,2018
Practice Area
Labor & Employment >> Labor & Employment
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Employee Disclosures Associate The candidate will administer and oversee compliance with Firm policy and SEC and FINRA rules and regulations with respect to Employee Disclosures including Personal / Related Accounts and Trading, Outside Business Activities and Private Investments. Will ensure that Compliance oversight process is aligned with business strategies, operations and procedures. Identify opportunities to improve efficiency and streamline processes, gaps and weaknesses and escalate as necessary to management. Review all OBA and PI requests for: (a) accuracy and completeness and (b) analyze and perform additional due diligence to identify and determine any potential conflicts of interest and decide how to address such conflicts if identified. Coordinate Compliance review of OBA and PI requests. Compose and communicate Compliance response to requestor. Ensure maintenance of books and records. Periodically conduct reviews of OBA and PI records for completeness. Personal Account Disclosure (“PAD”). Review PAD submissions and in accordance with Firm policy determine permitted vs. non-permitted accounts. Review exemption requests to maintain brokerage accounts with non-approved firms to determine approval or rejection and communicate decision to requestor. Draft and distribute 407 letters and Reverse 407 letters. Track receipt of and review of personal / related account statements. Develop Personal Trading Pre-Clearance Request Forms as needed. Retain PAD forms / related documentation and ensure maintenance of books and records. Periodically conduct reviews of PAD records for completeness. Establish and maintain CREM Employee Trading Supervisory Reports. Surveillance: daily surveillance of employee trading activity to oversee compliance with the Firm’s personal trading policy. Advise and conduct training sessions regarding the Firm’s account, OBA and PI policies as needed. Respond to requests from regulators and Internal Audit, as necessary. Undertake special projects, as designated. Should have undergraduate degree, Series 7, law degree and 2-4 years’ experience Application Deadline: 2018-04-27

Additional info

Req ID: 159915

Company info

Hiring Coordinator
Royal Bank of Canada (RBC)
1 Place Ville Marie-Ground Flr
Montreal, QC H3C 3B5

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