Associate Director, Capital Markets RCM Strategy and Execution
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Skills: Compliance, Audits, Business Requirements, Change Management, Compliance Management
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$120k–$200k/yr
Full-time
professional certificate
Bonuses, Flexible Benefits, Competitive Compensation, Commissions, Stock Options, 401(k) Program With Company-Matching Contributions
Posted 32d ago
Apply by Aug 31
~40 hrs/week
Responsibilities
Direct the RCM framework and lead regulatory change implementation across SEC, FINRA, and CFTC for US Capital Markets. Coordinate risk assessments, compliance testing, and reporting to senior stakeholders while implementing technology solutions for efficiency.
Requirements
Requires 5-7 years of compliance experience with deep knowledge of US securities regulation and broker-dealer activities. Must possess strong project management skills and the ability to manage time-sensitive workstreams independently.
Full job description
Job Description
What is the Opportunity?
Associate Director, US Capital Markets RCM Strategy and Execution offers direct exposure to senior leadership, strategic influence over compliance initiatives, and ownership of regulatory strategy shaping performance. You will direct the RCM framework ensuring adherence to standards and lead regulatory change implementation across securities regulators (SEC, FINRA, CFTC). We offer a collaborative compliance culture valuing expertise, initiative, and continuous improvement—along with strong career progression and opportunity to expand technical and strategic acumen. For someone driven beyond tactical compliance into strategic partnership with senior business leaders, this role provides significant challenge and visibility in a high-impact team.
What will you do?
Coordinate centralized RCM processes including annual Baseline Inherent Risk Ratings, Risk Assessments, High-Level Planning, and Issues Management across US Capital Markets.
Coordinate annual Training Needs Analysis, compliance testing plan development, and Quality Assurance Review processes with CUSO and Enterprise teams.
Manage regulatory change implementation across securities regulators (SEC, FINRA, CFTC), including scoping exercises, impact analysis, and consistent regulatory strategy.
Coordinate with US Capital Markets Segment Compliance, business stakeholders, and functional partners on rule changes and business requirements.
Provide regular reporting on rule implementation status to senior stakeholders, escalating concerns and identifying resolutions.
Identify and implement technology solutions to enhance efficiency of RCM and regulatory change programs.
Drive Lessons Learned enhancements to address QAR, testing, and audit findings.
Act as escalation point for US Capital Markets regulatory change and RCM questions or issues.
What do you need to succeed?
Must have:
5-7 years of compliance and regulatory experience with strong subject matter knowledge in US securities regulation impacting US Capital Markets.
Extensive knowledge of compliance and risk issues specific to US Capital Markets entities and familiarity with US Capital Markets products, strategies, and activities at US-registered broker-dealers.
Demonstrated ability to manage multiple, time-sensitive workstreams independently while collaborating effectively in team environments.
Knowledge of RCM framework and compliance management processes, with ability to work under short deadlines and make quick, reasoned decisions.
Strong technical skills to enhance efficiency and tracking of US Capital Markets processes, combined with project management expertise.
Nice-to-have:
Previous experience at a Big 4 Firm or Consulting Firm
Experience coordinating with regulatory bodies or managing enterprise-wide compliance initiatives; Project Management Professional (PMP) certification a plus.
Experience with global compliance programs and cross-functional regulatory working groups.
Experience with business intelligence tools, compliance technology platforms, and working knowledge of SQL, Python, or other data analysis tools
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.
A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
Leaders who support your development through coaching and managing opportunities
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
A world-class training program in financial services
Flexible work/life balance options
Opportunities to do challenging work
The good-faith expected salary range for the above position is $120,000 - $200,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.
RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
· Drives RBC’s high performance culture
· Enables collective achievement of our strategic goals
· Generates sustainable shareholder returns and above market shareholder value
#LI-POST
Job Skills
Audits Compliance, Business Requirements, Change Management, Compliance Management, Critical Thinking, Data Gathering Analysis, Decision Making, Financial Regulation, Impact Analysis, Industry Knowledge, Interpersonal Relationship Management, Process Implementations, Product Services, Risk Management, Strategic Thinking
Additional Job Details
Address:
GOLDMAN SACHS TOWER, 30 HUDSON STREET:JERSEY CITY
City:
Jersey City
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
CHIEF LEGAL & ADMIN OFFICE GRP
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
2026-06-26
Application Deadline:
2026-08-31
Note:Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Our Employment Opportunities
At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.
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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com.
We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
http://rbc.com/legalstuff.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
https://www.rbc.com/conditions-dutilisation/
Offices: 200 Bay Street, Toronto, Ontario M5J 2J5, CA · 1 Place Ville-Marie, Montreal, QC H3B 1Z3, CA · 2 Park St, Sydney, NSW 2000, AU · 100 Bishopsgate, London, England EC2N 4AA, GB · Persiaran Apec, Cyberjaya, Selangor 63000, MY
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Based on 6811 listings with disclosed salaries, most management & leadership jobs in New Jersey pay between $75k–$205k per year. Individual offers vary with seniority, company size, and specialization.
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