Associate Director, Compliance

3 weeks ago

Vancouver, Canada Royal Bank of Canada Full time

Job Summary

Job Description

What is the opportunity?

The Associate Director, Compliance is an integral part of the RBC Compliance team supporting the Compliance program of RBC Global Asset Management in Canada (RBC GAM). This team of compliance professionals provides in-depth expertise in the regulatory requirements for the following registration categories: Investment Fund Manager, Portfolio Manager, Commodity Trading Manager, and Exempt Market Dealer.

As an Associate Director, Compliance, you are a lead in subject matter expert in various matters and work on the day-to-day development, implementation, maintenance, and oversight of the compliance program for RBC GAM. You proactively identify, interpret, design and apply securities regulations / compliance policies and procedures to complex products and transactions undertaken by RBC GAM. A key part of this position involves Regulatory Compliance Management (RCM) activities.

What will you do?

  • Analyze, interpret and summarize the impact of complex regulatory rules/ developments and requirements in a timely manner
  • Assist in the creation and implementation of new or amended compliance policies and procedures
  • Respond to compliance inquiries and advise/train internal departments on various subject matters as may be designated by the Director, Compliance or Chief Compliance Officer
  • Support the team’s execution of second line of defense RCM activities including monitoring, testing reporting, issue management and tracking
  • Execute day-to-day compliance operational activities of the team and necessary tasks and reporting
  • Work effectively within a team environment, cross train and provide back up to other members of the team as assigned
  • Fulfill other responsibilities as assigned by the Director, Compliance or Chief Compliance Officer

What do you need to succeed?

Must-have:

  • 2-4 years relevant employment experience, e.g. regulatory compliance in financial institution / securities industry
  • University or post-graduate degree (Business, Finance, Law is preferred)
  • Excellent judgement and analytical skills - problem solving, curiosity, ability to simplify, desire to learn and grow
  • Accuracy in work output, attention to detail and accuracy are essential
  • Effective organization skills, including the ability to prioritize between tasks and deadlines
  • Ethical, able to maintain a confidence and exercise good judgement
  • Professional and able to work collaboratively with others
  • Experience in writing policies, procedures, reports, and other effective communication
  • Prior experience in compliance monitoring/testing activities, an asset

Nice-to-have:

  • Relevant securities industry courses and/or enrolled in Chartered Financial Analyst program (or a CFA charter holder)
  • Working Knowledge of regulatory requirements as they pertain to a portfolio manager or investment fund manager

What’s in it for you?

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Ability to make a difference and lasting impact
  • Work in an agile, collaborative, progressive, and high-performing team
  • The opportunity to interface with senior level executives from many different parts of the organization

Job Skills

Analytical Thinking, Audits Compliance, Compliance Policies, Critical Thinking, Decision Making, Industry Knowledge, Interpersonal Relationship Management, Investments, Portfolio Management, Regulatory Compliance, 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: 2024-08-28

Application Deadline: 2024-09-11

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 jobs.rbc.com.

#J-18808-Ljbffr

  • Associate Director, Regulatory Compliance

    2 weeks ago

    Vancouver, British Columbia, Canada Royal Bank of Canada Full time

    Job SummaryThe Royal Bank of Canada is seeking an experienced Associate Director, Regulatory Compliance to join our Compliance team. This role will play a critical part in supporting the Compliance program of RBC Global Asset Management in Canada.Key ResponsibilitiesAnalyze and interpret complex regulatory rules and developments to ensure compliance with...

  • Associate Director, Regulatory Compliance

    2 weeks ago

    Vancouver, British Columbia, Canada Royal Bank of Canada Full time

    Job SummaryThe Royal Bank of Canada is seeking an experienced Associate Director, Regulatory Compliance to join our Compliance team. This role will play a critical part in supporting the Compliance program of RBC Global Asset Management in Canada.Key ResponsibilitiesAnalyze and interpret complex regulatory rules and developments to ensure compliance with...

  • Regional Sales Director

    1 day ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    1 day ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across commercial segments.The successful candidate will report directly to the Regional...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across all commercial segments.The successful candidate will report directly to the...

  • Regional Sales Director

    3 days ago

    Vancouver, British Columbia, Canada Director File Full time

    Regional Sales Director Job DescriptionMohawk is seeking a seasoned Regional Sales Director to drive business growth and development in Canada.This role is responsible for leading a team of Account Executives and developing targeted business strategies with key clients across commercial segments.The successful candidate will report directly to the Regional...

  • Immunology Director

    2 weeks ago

    Vancouver, British Columbia, Canada Director File Full time

    About the RoleWe are seeking a highly experienced and accomplished Immunology Director to join our team at Zymeworks. As a key member of our research organization, you will be responsible for leading a talented team of Immunology researchers to deliver innovative and sustainable pipeline in Immunology.Key ResponsibilitiesDevelop and execute a comprehensive...

  • Immunology Director

    2 weeks ago

    Vancouver, British Columbia, Canada Director File Full time

    About the RoleWe are seeking a highly experienced and accomplished Immunology Director to join our team at Zymeworks. As a key member of our research organization, you will be responsible for leading a talented team of Immunology researchers to deliver innovative and sustainable pipeline in Immunology.Key ResponsibilitiesDevelop and execute a comprehensive...

  • Director, Legal and Compliance

    3 days ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    Job SummaryReporting to the EVP, Legal, the Director, Legal & General Counsel manages the legal and compliance team. The Director, Legal and General Counsel will be responsible for providing strategic legal advice and counsel to the executive team and ensuring that the company operates in compliance with all applicable laws and regulations.Key...

  • Director, Legal and Compliance

    3 days ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    Job SummaryReporting to the EVP, Legal, the Director, Legal & General Counsel manages the legal and compliance team. The Director, Legal and General Counsel will be responsible for providing strategic legal advice and counsel to the executive team and ensuring that the company operates in compliance with all applicable laws and regulations.Key...

  • Director, Legal and Compliance

    1 week ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    Job SummaryAs a key member of the LGM Financial Services leadership team, the Director, Legal & General Counsel will play a critical role in shaping the company's legal and compliance strategy. Reporting to the EVP, Legal, this individual will be responsible for providing strategic legal advice to the executive team and ensuring that the company operates in...

  • Director, Legal and Compliance

    1 week ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    Job SummaryAs a key member of the LGM Financial Services leadership team, the Director, Legal & General Counsel will play a critical role in shaping the company's legal and compliance strategy. Reporting to the EVP, Legal, this individual will be responsible for providing strategic legal advice to the executive team and ensuring that the company operates in...

  • Director, Legal and Compliance

    6 days ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    About the RoleWe are seeking a highly skilled and experienced Director, Legal & General Counsel to join our team at LGM Financial Services Inc. As a key member of our executive team, you will be responsible for providing strategic legal advice and counsel to support the development and implementation of our business strategy.Key ResponsibilitiesManage the...

  • Director, Legal and Compliance

    6 days ago

    Vancouver, British Columbia, Canada LGM Financial Services Full time

    About the RoleWe are seeking a highly skilled and experienced Director, Legal & General Counsel to join our team at LGM Financial Services Inc. As a key member of our executive team, you will be responsible for providing strategic legal advice and counsel to support the development and implementation of our business strategy.Key ResponsibilitiesManage the...