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Director, Compliance

3 months ago

Toronto, Ontario, Canada Royal Bank of Canada Full time

Job Summary

What is the Opportunity?


The Director, Compliance is a senior member of the Compliance team that supports RBC Global Asset Management (RBC GAM) in Canada, and assists in the management of the team, lead the team's compliance operations, including ensuring the team is able to execute its strategic objectives and initiatives, deliver its ongoing responsibilities and fulfill its reporting obligations.

The team's compliance activities pertaining to head office/employee conduct compliance for RBC GAM are also part of this role's mandate, including ongoing surveillance/oversight activities with respect to personal trading, outside activities, gifts and entertainment, conflicts management, regulatory compliance management, and second line of defense monitoring and testing.

The position reports directly into the Chief Compliance Officer (CCO), RBC GAM Canada.

What will you do?

  • Assist the CCO in the daytoday management of Compliance team members based in Toronto and Vancouver, including coaching, training, work output quality assurance and oversight of direct and indirect reports.
  • Support the CCO on implementing the strategic objectives of the team and lead /complete key team initiatives and projects, assess and enhance operational efficiency, and deliver on the team's ongoing responsibilities and reporting obligations.
  • Lead the team's compliance activities supporting RBC GAM that include
  • Head office/employee conduct compliance, including ongoing surveillance/oversight activities (personal trading, outside activities, and gifts and entertainment), registrations and compliance training.
  • Incident/error review process, complaint handling, conflicts management and activities that require liaising with central /Enterprise Compliance and other functional groups.
  • Provide input on proposed or new regulatory initiatives, participate in internal / external working groups and committees, and advise the business on considerations of such new regulatory initiatives on their activities.
  • Develop key partnerships and foster collaborative and effective relationships with RBC Law Group, other Compliance/Functional groups within RBC, and business leaders.
  • Actively participate in assessment and implementation of key regulatory initiatives / guidance and enterprise Compliance initiatives.
  • Assist the CCO in executing the second line of defense responsibilities of RBC GAM associated with the Enterprise Regulatory and Compliance Management Framework.

What do you need to succeed?

Must-Have
years of relevant employment experience

  • University Degree in Business, Finance, Law or professional designation
  • Relevant experience in developing and operationalizing a compliance program for a large, complex securities registrant, preferably an investment fund manager and/or asset manager.
  • Managerial excellence experience in Compliance management for a financial institution, preferrable for an asset manager or investment fund manager with a track record of leading complex projects / initiatives, team operations, and people management.
  • Strong organizational skills ability to meet deadlines consistently, manage multiple tasks/pivot, keen attention to detail.
  • Experience in developing policies, reports, and analysis documents/presentations for various audiences.
  • Sound working knowledge of the securities industry and regulatory requirements as they pertain to portfolio manager, investment fund manager and exempt market dealer.
  • Completed securities industry courses an asset.

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
  • Flexible work/life balance options

Job Skills
Asset Management, Audits Compliance, Compliance Frameworks, Critical Thinking, Decision Making, Industry Knowledge, Internal Compliance, Interpersonal Relationship Management, Investment Funds, Mutual Funds, Regulatory Requirements, Taking Initiative, Work Management

Additional Job Details

Address:

RBC CENTRE, 155

WELLINGTON ST W:

TORONTO

City:

TORONTO

Country:

Canada

Work hours/week:

37.5

Employment Type:

Full time

Platform:

Law and Compliance

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

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