Securities Licensing Compliance Officer Securities Licensing Compliance Officer …

in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
in Minneapolis, MN, United States
Permanent, Full time
Be the first to apply
Securities Licensing Compliance Officer
What is the opportunity?
As RBC adapts to new opportunities and challenges, Regulatory Compliance is adapting too.

We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.

With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?

As a Compliance Officer in Employee Compliance, you will gain a full understanding of securities, investment adviser, and commodities licensing rules/regulations and thereby ensure that the Firm and all appropriate individuals within the Firm are properly licensed in a timely manner with the applicable jurisdictions.

What will you do?
  • Assist as needed on the initial, transfer and termination procedures relative to licensing and registration for securities, investment adviser and commodities in order to ensure employees are appropriately licensed in a timely manner in order to conduct their job responsibilities upon hire
  • Serve as a back-up for all other licensing processes when team members are out and respond to securities, investment adviser, and commodities licensing and registration questions from firm employees and communicate rules, regulations and Firm policy as necessary
  • Prepare the monthly FINRA billing process for the accounting department and the monthly BIG accounting report for submission to Accounts Payable
  • Keep current on securities, investment adviser, and commodities licensing rules/regulations and procedures established by federal and state licensing authorities
  • Work with Manager to revise the Firm's policies and procedures as necessary
  • Back up spreadsheets from SharePoint monthly on U drive
  • Answer inquiries from business and compliance on registration and licensing topics.
  • Assist with audits and the completion of yearly state renewals
What do you need to succeed?
  • Bachelor's degree or equivalent experience with at least 3 years of relevant experience in the financial services industry
  • Knowledge of securities, investment adviser, and commodities licensing rules and regulations
  • A team player who values collaboration
  • Strong problem solving mindset and passion for improving processes and efficiencies

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.
  • Client First: We will always earn the right to be our clients' first choice
  • Collaboration: We win as One RBC
  • Accountability: We take ownership for personal and collective high performance
  • Diversity & Inclusion: We embrace diversity for innovation and growth
  • Integrity: We hold ourselves to the highest standards to build trust


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