Compliance Analyst

3 weeks ago

Toronto, Ontario, Canada Royal Bank of Canada Full time

Job Summary

Job Description

What is the opportunity?

As Compliance Analyst, you are accountable for the administration of RBC Enterprise personal trading policy internal control framework with respect to information barriers, personal trading and conflicts of interest. You will conduct monitoring and testing as assigned, identify potential conflicts of interest and escalate to management as required. You will also develop and maintain strong working relationships with business management in order to adequately support the business.

What will you do?

  • Administer the Capital Markets and Enterprise Personal Trading Policy, by ensuring that employees newly identified as being subject to the program are (a) correctly categorized (eg. subject to RBC windows, other trading restrictions, required to pre-clear, required to bring personal and related person accounts to approved dealer), and (b) apprised of and perform their responsibilities under the policy. This includes collecting the Employee Disclosure Forms when employees are made subject to the policy and the annual refreshment
  • Administer the policy and make recommendations to Control Room management regarding conflicts of interest arising from personal trading, outside business activities and private investments and ensure that appropriate records are maintained
  • Serve as main point of contact on Business Unit Coordinator and employee enquiries regarding personal trading
  • Pre-clear employee trades
  • Distribute Employee Disclosure Form to RBC and RBCCM new hires/transfers; act as employee facilitator; respond to queries; follow-up with non-respondents; and escalate to management or department heads as necessary
  • Assist with surveillance of personal trading as applicable under Control Room policies and procedure
  • Recommend process and design enhancements within responsibilities, including leveraging new technology whenever possible
  • Providing back up support for other employees within Compliance.
  • Deal with IT issues regarding the control room technology system (e.g. functionality of a page, identify enhancements required, etc.)
  • Field questions from RBC and RBCCM employees and unit coordinators, and assist with the maintenance of CREM data on employee profiles

What do you need to succeed?

Must-have

  • 2+ years of experience in the financial services industry
  • Demonstrated knowledge of applicable regulatory and internal policy requirements, and all others as applicable
  • Ability to work and flourish in a fast-paced environment
  • University degree or equivalent education
  • Ability to work independently, managing various high priorities

Nice-to-have

  • Securities industry related courses and qualifications are a key 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 and competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Flexible work/life balance options
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to do challenging work

Job Skills

Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Interpersonal Relationship Management, Risk Management, Strategic Thinking

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:

Inclusion and Equal Opportunity Employment

At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
​​​​​​​
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.

Join our Talent Community

Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.

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

  • Compliance KYC Analyst

    3 days ago

    Toronto, Ontario, Canada Corpay Full time

    Corpay is currently looking to hire a Compliance KYC Analyst within our Legal Compliance division. This position falls under our Corpay Cross Border line of business and is located in Toronto ON. You will report directly to the Compliance Director and regularly collaborate with the Credit, Sales & Financial Investigation Unit teams. How We Work As a...

  • Compliance Analyst II

    3 weeks ago

    Toronto, Ontario, Canada FIS Global Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor's Degree Travel Percentage : 5 - 10%Are you curious, motivated, and forward-thinking? At FIS you'll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people...

  • Compliance Risk Analyst II

    3 weeks ago

    Toronto, Ontario, Canada FIS Global Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 1 - 5%Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...

  • Sr Analyst, Governance, Risk, and Compliance

    3 weeks ago

    Toronto, Ontario, Canada Tucows Inc. Full time

    Tucows (NASDAQ:TCX, TSX:TC) is possibly the biggest Internet company you've never heard of. We started as a simple shareware site in 1993 and have since grown into a stable of businesses: Tucows Domains, Ting Internet and Wavelo.What's next at TucowsWe embrace a people-first philosophy that is rooted in respect, trust, and flexibility. We believe that...

  • Sr Analyst, Governance, Risk, and Compliance

    2 weeks ago

    Toronto, Ontario, Canada Tucows Inc. Full time

    Tucows (NASDAQ:TCX, TSX:TC) is possibly the biggest Internet company you've never heard of. We started as a simple shareware site in 1993 and have since grown into a stable of businesses: Tucows Domains, Ting Internet and Wavelo.What's next at TucowsWe embrace a people-first philosophy that is rooted in respect, trust, and flexibility. We believe that...

  • Compliance/Operational Risk Analyst II

    3 weeks ago

    Toronto, Ontario, Canada FIS Global Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 1 - 5%Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in...

  • Compliance Analyst

    4 days ago

    Toronto, Ontario, Ontario, Canada Collabera Full time

    Day to Day Review emails for new requests.If there's new KYCs from prospective clients, they have to review and go through the AML process and conduct their customer risk questionnaire.Actively interacting with front office, see if they have any questions on who they are onboarding.E.g. If they’re onboarding a new client and they receive a photo ID...

  • Manager, Compliance Governance

    2 hours ago

    Toronto, Ontario, Canada Raymond James Ltd. Full time

    At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.Raymond James Ltd. is Canada's leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.Manager, Compliance GovernanceHow does the role impact the...

  • Business Analyst

    21 hours ago

    Toronto, Ontario, Canada GTT, LLC Full time

    Business AnalystContract Duration 12 MonthsJob Responsibilities:The Business Analyst provides a comprehensive range of I&IT business analysis services for clients with diverse business and technological needs.Interacts with the business stakeholders and subject matter experts in order to understand their requirements through gathering, documenting, and...

  • Vendor Contract Analyst

    1 week ago

    Toronto, Ontario, Canada Procom Full time

    Contract Analyst - Banking On behalf of our client in the Banking Sector, PROCOM is looking for a Contract Analyst - Banking. Contract Analyst - Banking - Job DescriptionThe is an integral part of the market data and services acquisition, management and servicing lifecycleFocused primarily on contract management and vendor relationship service, the candidate...

  • Business Analyst/Analytics Quality Assurance

    4 weeks ago

    Toronto, Ontario, Canada procom Full time

    Business Analyst/Analytics/Quality Assurance On behalf of our client in the Banking Sector, PROCOM is looking for a Business Analyst/Analytics/Quality Assurance. Business Analyst/Analytics/Quality Assurance - Job DescriptionAnalytics QA is responsible for contributing to projects that impact the business through in-depth quality assurance, proactive...

  • Senior Analyst, Procurement

    3 weeks ago

    Toronto, Ontario, Canada Home and Community Care Support Services Full time

    CARE AND BE CARED FOR - THIS IS YOUR HOME Are you a skilled procurement professional that strives for excellence and quality to create optimal value for the organization? Do you enjoy the challenge of leading large complex procurement initiatives? Are you passionate about exceptional health care and driven by a desire to help others? If so, take a look at...

  • OT Risk Security Analyst

    1 week ago

    Toronto, Ontario, Canada Krissilasgroup Full time

    Our client is a leader in its industry and is considered one of the top 25 most engaged companies globally. Operational Technology - OT GRC Security Risk Analyst Contract Position: 6 months to start Hybrid The Information Security Risk and Governance Analyst supports the Information Security Risk Management and Governance programs. The candidate will...

  • Data Governance Business Analyst

    4 days ago

    Toronto, Ontario, Ontario, Canada Apex Systems Full time

    Data Governance Business AnalystPosition Title: Data Governance Business Analyst Job ID #: 2028450LOB: T&O - Chief Data Analytics OfficeEst. Start Date: ASAPDuration: 6 monthsPossibility of extension: YesPossibility of FTE: YesWorking Hours: 9AM -5 PM (37.5 hour work week)Working Location: Downtown Toronto - Hybrid (1 day a week)Role Mandate: The selected...

  • Corporate Banking Analyst

    4 days ago

    Toronto, Ontario, Ontario, Canada China Construction Bank Toronto Branch Full time

    Reporting to the Head of Corporate Banking, the Analyst is primarily responsible for supporting the Portfolio Management function within the Department with core tasks focused on the development of new and existing corporate clients and performing high level financial modeling and analysis. The Analyst will perform a variety of other Portfolio Management...

  • Logistics Analyst

    6 days ago

    Toronto, Ontario, Canada McCain Foods Full time

    ​ ​ Position Title: Logistics Analyst Position Type: Regular - Full-Time ​ Position Location: Toronto HQ Requisition ID: 27560 ​ For us, for family We know the importance that food plays in people's lives - the power it has to bring people, families and communities together. Our purpose is to bring enjoyment to people's lives through great tasting...

  • Capital & Maintenance Program Analyst

    3 weeks ago

    Toronto, Ontario, Canada Toronto Hydro Corporation Full time

    The Capital and Maintenance Program Analyst is responsible for the effective business operations associated with Toronto Hydro-Electric Systems Limited (THESL) Capital program. Responsibilities include: data gathering, data analysis, identifying gaps and trends as well as producing reports related to the THESL Capital and Maintenance Work Programs. The...

  • Capital & Maintenance Program Analyst

    1 week ago

    Toronto, Ontario, Canada Toronto Hydro Corporation Full time

    The Capital and Maintenance Program Analyst is responsible for the effective business operations associated with Toronto Hydro-Electric Systems Limited (THESL) Capital and Maintenance programs and operating expenses. Responsibilities include: data gathering, data analysis, identifying gaps and trends as well as producing reports related to the THESL Capital...

  • SAS Analyst@ Brampton, ON

    3 weeks ago

    Toronto, Ontario, Canada Atlantis IT group Full time

    Role: SAS AnalystLocation: Brampton, ONDuration: Long termRequired Skills:Proven experience with SAS programming (Base SAS and Advanced SAS). Strong expertise in SQL and experience with relational databases. Experience with ETL tools, preferably Informatica. Proficient in using SAS Enterprise Guide and SAS Viya. Familiarity with process management tools such...

  • Crew Pay Analyst

    3 weeks ago

    Toronto, Ontario, Canada Air Canada Full time

    Job Description Description Being part of Air Canada is to become part of an iconic Canadian symbol, recently ranked the best Airline in North America. Let your career take flight by joining our diverse and vibrant team at the leading edge of passenger aviation. The Crew Pay Analyst is the definitive source of knowledge, or expertise in Crew Pay. The Crew...