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Compliance AnalystRBC Dain Rauscher - New York, NYAs a Compliance Analyst for RBCs Global Private Banking/International Wealth Management division you will be responsible for the execution of Compliance duties and functions as they relate to the operations of our New York branch. Your duties will include monitoring the branch for full compliance with the letter and spirit of all applicable U.S. banking laws, securities laws (as applicable), regulations and internal policies and reporting discrepancies to senior management. Key Accountabilities: Monitor the compliance process for the banking activities of the New York branch through: Reviewing new client and existing client profiles for CDD/CIP and or EDD for signoff purposes. Analyze and validate corroboration to determine accuracy. Assess risk in new accounts and make appropriate... See job listing >30+ days ago from RBC Dain Rauscher - Save - Block - Flag - More Tools...
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RBC Dain Rauscher
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Headquarters:
60 S 6th St Ste 1000
Minneapolis, MN 55402
Phone: 612-371-7750
http://www.rbc.com - Line of Business: Security Broker/dealer Nonresdentl Bldg Operatr
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Key Numbers:
Company Type Private Company Revenue $500M+ Company Size More than 5000 employees -
Job Location:
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